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Full text of "North Carolina Register v.13 no. 14 (1/15/1999)"

NORTH CAROLINA 

REGISTER 



RECEIVED 
FEB 2 1999 

KATHR^^4e R. EVERETT 
LAW LIBRARY 



VOLUME 13 • ISSUE 14 • Pages 1100 - 1215 



January 15, 1999 



IN THIS ISSUE 

Municipal Incorporations 

Narrow Therapeutic Index Drugs 

Revenue - Tax Review Board 

Agriculture 

Chiropractic Examiners, Board of 

Cosmetic Art Examiners 

Crime Control & Public Safety 

Environment and Natural Resources 

Health and Human Services 

Justice 

Secretary of State 

Transportation 

Rules Review Commission 

Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PC Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125- 11.13 



For those persons that have questions or concerns regarding the Administrative Procedure Act or 
components, consult with the agencies below. The bolded headings are typical issues which 
agency can address, but are not inclusive. 



any of its ^^ 
the given r 



S 



Rule Notices, Filings, Register;l)eadlines, Copies of Proposed Rules, etc. 

Office of Administrative Hearings 

Rules Division 

Capehart-Crocker House _::19 1 9) 733-2678 

424 North Blount Street •"-"^■"'(919) 733.3462 FAX 

Raleigh, North Carolina 2760 1-2817 



contact: Molly Masich, Director APA Services 
Ruby.Creech, Publications Coordinator 

^ // 

Fiscal Notes & Economic Analysis 

. Office of State Budget and Management 
// »1 16 West Jones Street 
' •' ' Raleigh, North Carolina 27603-8005 

contact: Warren Plonk, Economist 111 



mmasich@oah.state.nc.us 
rcreech@oah.state.nc.us 



(919)733-7061 
(919) 733-0640 FAX 

wplonk@osbm.state.nc.us 






Rule Review and Legal Issues 

Rules Review Commission 
1307 Glenwood Ave., Suite 159 
Raleigh, North Carolina 27605 

contact: Joe DeLuca Jr., Staff Director Counsel 
Bobby Bryan, Staff Attorney 



(919)733-2721 
(919) 733-9415 FAX 



\ 



Legislative Process Concerning Rule-making 

Joint Legislative Administrative Procedure Oversight Committee 

545 Legislative diffice Building 

300 North Salisbury Street (919) 733-2578 

Raleigh, North Carolina 2761 1 (919) 715-5460 FAX 



contact: Mary Shuping, Staff Liaison 



maiys@ms.ncga.state.nc.us 



County and Municipality Government Questions or Notification 

NC Association of County Commissioners 

2 1 5 North Dawson Street (9 1 9) 7 1 5-2893 

Raleigh, North Carolina 27603 

contact: Jim Blackburn or Rebecca Troutman 



NC League of Municipalities 
215 North Dawson Street 
Raleigh, North Carolina 27603 

contact: Paula Thomas 



(919)715-4000 




This publication is printed on permanent, acid-free paper in compliance with G.S. 125-1 1. 13 



NORTH CAROLINA 
REGISTER 




Volume 13, Issue 14 
Pages 1100-1215 



January 15, 1998 



This issue contains documents officially filed 
through December 23, 1998. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 2761 1-7447 

(919)733-2678 

FAX (919) 733-3462 



Julian Mann 111, Director 

Camille Winston, Deputy Director 

Molly Masich. Director of APA Services 

Ruby Creech, Publications Coordinator 

Jean Shirley, Editorial Assistant 

Linda Dupree. Editorial Assistant 

Jessica Flowers. Editorial Assistant 



IN THIS ISSUE 

I. IN ADDITION 

Municipal Incorporations 1101 

Pharmacy - Narrow I hcrapeutic Index Drugs 1 100 

Revenue - Tax Rc\ie\v Board 1 102 - 1108 

II. RILE-MAKING PROCEEDINGS 

Agriculture 

Food & Drug Protection 1109 

Markets 1 1 09 

Environment and Natural Resources 

En\ironniental Management 11)1-1113 

Marine Fisheries Commission 1113 

W'lldlire Resources Commission 1113-1114 

Health and Human Services 

Departmental Rules 1 1 09 

Health Services 1114 

Justice 

Criminal Justice Ed & Training Standards 1110 

Pri\ate Protecti\e Services 1110 

SheritTs' l:d & Iraining Commission 1110-1111 

Licensing Boards 
Cosmetic Art I'xaminers 1114-1115 

III. PROPOSED RCLES 
Environment and Natural Resources 

Wildlife Resources Commission 1116 

Licensing Boards 

Chiropractic IXaminers. Board of 1117-1118 

Transportation 

HighwaN s. Di\ ision of 1116-1117 

IV. TEMPORARY Rl LES 
Agriculture 

Consumer Ser\ ices 1119 

Health and Human Services 

FacilitN Ser\ ices 1119-1151 

Licensing Boards 

Cosmetic Art I^xaminers 1 1 57 - 1 166 

Secretary of State 

Electronic Commerce Section 1 153 - 1 157 

Securities Di\ ision 1151-1153 

V. APPROVED Rl LES 1 167 - 1201 

Crime Control & Public Safety 

Governor's Crime Commission. Di\ ision of 
Environment and Natural Resources 

Coastal Management 

Health Services 
Justice 

Alarms S\slems Licensing Board 

Criminal Justice Ed & Training Standards 
Health and Human Services 

Facilities Ser\ ices 

Health Services 

Medical Assistance 

Social Services 
Transportation 

High\\a_\s. Di\ ision of 

VI. RLLES REMEW COMMISSION 1202 - 1206 

VII. CONTESTED CASE DECISIONS 

Index to Af J Decisions 1207 - 1215 

Vm. CUMULATIVE INDEX 1-76 



\orlh Carolina Register is published semi-monthh tor $145 per \ear b\ the Office ot Adminislratne Hearings. 424 North Blouni Street. Raleigh. NC 
27601 (ISSN 1 5200604) to mail at Periodicals Rates is paid at Raleigh. NC P0STM.-\ST[;R Send .Address changes to the \onli ( 'jrolwa Register. 
PO Drawer 2^447. Ralciiih. NC 2^(il l-"44- 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



The North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, titles and chapters, 
are mandatory. The major subdivision of the NCAC is the title. Each major department in the North Carolina executive 
branch of government has been assigned a title number. Titles are further broken down into chapters which shall be 
numerical in order. The other two. subchapters and sections are optional subdivisions to be used by agencies when 
appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 



TITLE 



DEPARTMENT 



LICENSING BOARDS 



CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Athletic Trainer Examiners 


3 


4 


Commerce 


Auctioneers 


4 


5 


Correction 


Barber Examiners 


6 


6 


Council of State 


Certified Public Accountant Examiners 


8 


7 


Cultural Resources 


Chiropractic Examiners 


10 


8 


F£lections 


Employee Assistance Professionals 


11 


9 


Go\ emor 


General Contractors 


12 


10 


Health and Human Ser\'ices 


Cosmetic An Examiners 


14 


11 


Insurance 


Dental Examiners 


16 


12 


Justice 


Dietetics/Nutrition 


17 


13 


Labor 


Electrical Contractors 


18 


14A 


Crime Control & Public Safety 


Electrolysis 


19 


15A 


En\ironment and Natural Resources 


Foresters 


20 


16 


Public Education 


Geologists 


21 


17 


Re\enue 


Hearing Aid Dealers and Fitters 


22 


18 


Secretary of State 


Landscape Architects 


26 


19A 


Transportation 


Landscape Contractors 


28 


20 


Treasurer 


Marital and FamiK Therapy 


31 


*2I 


Occupational Licensing Boards 


Medical Examiners 


32 


T> 


Administrative Procedures (Repealed) 


Midwifery Joint Committee 


33 


23 


CommunitN Colleges 


Mortuary Science 


34 


24 


Independent Agencies 


Nursing 


36 


25 


State Personnel 


Nursing Home Administrators 


37 


26 


Administrative Heatings 


Occupational Therapists 


38 


27 


NC State Bar 


Opticians 


40 






OptometPi' 


42 






Osteopathic Examination & Reg. (Repealed) 


44 






Pastoral Counselors. Fee-Based Practicing 


45 






Pharmacy 


46 






PhNsical Therapv Examiners 


48 






Plumbing. Heating & Fire Sprinkler Contractors 


50 






Podiatr\ Examiners 


52 






Professional Counselors 


53 






Psycholog> Board 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Soil Scientists 


69 






Speech & Language Pathologists & Audiologists 


64 






Substance Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






Veterinar\ Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



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IN ADDITION 



This Section contains public notices that arc required to be published in the Register or have been approved by the Codijier 
of Rules for publication. 



NARROW THERAPEUTIC INDEX DRUGS DESIGNATED BY THE NORTH 
CAROLINA SECRETARY OF HEALTH AND HUMAN SERVICES 



Pursuant to N.C.G.S. §90-85. 27(4a). this is the publication from the North Carolina Board of Pharmac> of narrow therapeutic 
index drugs designated b\ the North Carolina Secretan. of Health and Human Services upon the advice of the State Health Director. 
North Carolina Board of Pharmacv. and North Carolina Medical Board: 



Carbamazepine: 
Digoxin: 
Ethosuximide: 

Levoth>roxine sodium tablets 
Lithium (including all salts): 
Phenytoin (including all salts): 
Procainamide Hydrochloride: 
Theophylline (including all salts): 
Warfarin sodium tablets 



all oral dosage forms 
all oral dosage forms 
all oral dosage forms 

all oral dosage forms 
all oral dosage forms 
all oral dosage forms 
all oral dosage forms 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1100 



INADDITION 



MUNICIPAL INCORPORATIONS 

The following notice is published in the Register in accordance with G.S. I20-165(a): 

September 23. 1998, the Joint Legislative Commission on Municipal Incorporations received a petition requesting corporation of the 
Town of St. James in Brunswick County. 

October 8, 1998. the Joint Legislative Commission on Municipal Incorporations received a petition requesting the corporation of the 
Town of Rimertown in Cabarrus County. 

October 15. 1 998. the Joint Legislative Commission on Municipal Incorporations received a petition requesting the corporation of 
the Town of Hampstead in Pender County. 

October 26. 1998. the Joint Legislative Commission on Municipal Incorporations received a petition requesting the corporation of 
the Town of Holiday Island in Perquimans County. 

October 27. 1998. the Joint Legislative Commission on Municipal Incorporations received a petition requesting the corporation of 
the Town of Bermuda Run in Davie County. 

October 29. 1998. the Joint Legislative Commission on Municipal Incorporations received a petition requesting the corporation of 
the Town of Mineral Springs in Union County. 

Copies of the petitions are available from Gerry Cohen. Commission Counsel. 401 Legislative Office Building. 300 North Salisbury 
Street, Raleigh NC 27603-5925, phone (919) 733-6660. FAX (919) 715-5459, e-mail GERRYC-gMS.NCGA.STATE.NC.US 



1101 NORTH CAROLINA REGISTER Januan' 15, 1999 13:14 



IN ADDITION 



STATE OF NORTH CAROLINA 
COUNTY OF WAKE 



BEFORE THE 
TAX REVIEW BOARD 



IN THE MATTER OF: 

The Proposed Assessments of a SI, 000 Penalty by 
the Motor Fuels Tax Division pursuant to G.S. 
105-449.117 for the use of dyed diesel fuel 
by the Secretary of Revenue 



vs. 



James Eimon Upchurch, Jr. 
Ta.xpayer 



ADMINISTRATIVE DECISION 



NUMBER: 348 



This matter was heard before the Tax Review Board in the city of Raleigh, on Tuesday. August 1 8. 1 998. upon Taxpa\er's 
petition for administrative review of the Final Decision of the Secretary of Revenue rendered on JuK 30, 1997, sustaining a proposed 
assessment of a $1,000 penalty issued by the Motor Fuels Tax Division pursuant to G.S. §105-499.1 17 for the use of dyed diesel fuel. 
Taxpayer was presented at the hearing by C. B. McLean, Jr., attorney at law. The Secretary of Revenue was represented at the hearing 
by Christopher E. Allen, Assistant Attorney General. 

Chairman Harlan E. Boyles, State Treasurer presided over the hearing with Jo Anne Sanford, Chair. Utilities Commission 
and duly appointed member, Noel L. Allen. Attorney at Law participating. 

Pursuant to G.S. 105-241 .2, the Taxpayer filed a petition with the Regular Tax Review Board appealing the Final Decision 
of the Assistant Secretary of Revenue rendered on July 30, 1997, sustaining the imposition of the proposed $1,000 penalty for the 
improper use of dyed diesel fuel in his 1985 Ford truck. The Taxpayer's notice and petition for administrative review of the Assistant 
Secretary "s final decision was timely filed with the Tax Review Board. 

ISSUE 

The issue presented to the Board is stated as follows: 

Whether the Taxpayer was properly assessed a $1,000 penalty- for having illegal dyed diesel in the fuel tank of his truck 
pursuant to G.S. §105-449.117. 

EVIDENCE 

The evidence presented at hearing before the Secretary of Revenue and included in the record presented to the Board is listed 
as follows: 

Evidence presented by the Department: 

1. Cop\ of penalty assessment. 

2. Copy of the North Carolina Department of Transportation — Division of Motor Vehicles — Enforcement Section document 
regarding the vehicle stop, v\ith notes on back referring to comments made b\ Taxpa\er at the time of the stop. 

3. Copy of the North Carolina Department of Agriculture Standards Division analysis document. 

4. Copy of the U.S. Air Force Aerospace Fuels Laborator\ analysis document dated November 29. 1996. 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1102 



IN ADDITION 



5. Copy of Taxpayer's letter dated December 1 6, 1 996, to Mr. Beck, then Director of the Motor Fuels Division requesting a 
hearing. 

6. Copy of Mr. Hannah's January 24, 1 997 letter to Taxpayer scheduling the hearing. 

7. Copy of Federal Register showing maximum sulfUr content for highway diesel fuel pursuant to EPA Rule in compliance with 
the Clear Air Act. 

8. Copy of letter from Secretary Offerman authorizing Mr. Hannah to hold the hearing. 

9. Copy of an illustrated brochure titled Attention Truckers ... No Dyed Fuel on the Highway, this brochure is published by 
the Federal Highway Administration, the Internal Revenue Service, and the U.S. Environmental Protection Agency. 

10. Copy of a North Carolina Department of Revenue N.C. Legislation Dyed Diesel Fuel. 

1 1 . Copy of a handout "ATTENTION TRUCKERS... No Dyed Duel on the Highway." 

12. Copy of a handout ATTENTION TRUCKERS. ..No Dyed Fuel on the Highway that designated who to contact and included 
North Carolina or Georgia telephone numbers. 

13. Copies of the following documents: (1). The February 26, 1997 letter from Mr. Sutton to Mrs. Slusser. (2). The North 
Carolina Department of Agriculture Standards Division analytical record of sample taken. (3). A letter dated January 10, 1992, to 
Mr. Brad Trom. (4). A fax from Mr. Greg Allen of Christenson Oil to Mr. Trom dated February 20, 1997. (5). An Interoffice 
memorandum from Mr. Annis to Mrs. Slusser dated March 12. 1997. 

Evidence presented by the Taxpayer: 

Copy of a fuel receipt, designated Exhibit A. 

Copy of Insurance Co. v. Gold. Commissioner of Insurance, 254 N.C. 168 (1961 ), designated Exhibit B. 

Copy of pages regarding Obtaining Property by False Pretenses, designated Exhibit C. 

Copy of G.S. §14-209 pertaining to perjury, designated Exhibit D. 

Copy of Rule 43 of the North Carolina Rules of Civil Procedure, designated Exhibit E. 

FINDINGS OF FACT 

The Board considered the following findings of fact made by the Assistant Secretary in determining its decision: 

1 . On November 1 9, 1 996, Investigator Steve Annis. of the Motor Fuels Tax Division of the North Carolina Department of Revenue, 
represented the Department in stopping diesel trucks as part of a "Red Alert" Operation. "Red Alert" refers to the random stopping 
of trucks to test for the use of illegal dyed, non-tax-paid diesel on the highway. 

2. Officer R.J. Bowling of the North Carolina Department of Motor Vehicle (DMV) and Investigator Annis worked together as part 
of the "Red Alert" Operation. Officer Bowling not only was an officer with DMV. but he also represented the Internal Revenue 
Service (IRS) for violations of the IRS civil penalty involved in the illegal use of dyed diesel. 

3. The Department and the IRS both impose civil penalties if red dye is found in diesel fuel used in highway vehicles dri\ :ii on the 
highway. 

4. The officers spotted Taxpayer driving a 1985 Ford truck on Main Street, Sparta, North Carolina, a North Carolina public 
highway. 

5. Officer Bowling turned on the blue light of the DMV automobile while the Taxpayer was driving on Main Street, Sparta, North 
Carolina. 



1103 NORTH CAROLINA REGISTER January 15, 1999 13:14 



IN ADDITION 



6. Investigator Annis introduced himself to Taxpayer and showed Taxpayer his business card. 

7. The officers took a sample of the motor fuel from Taxpayer's truck and found it to be red. dyed diesel fuel. Prior to the officers 
taking the sample of dyed fiiel. Taxpayer admitted that they would find dyed fuel. He said he added Oregon 2-cycle engine oil to the 
motor fuel in the amount of one to three ounces of the Oregon additive to ten to fifteen gallons of motor fuel. 

8. Investigator Annis used a new plastic siphoning tube to take the sample because Taxpayer was concerned about the contamination 
of his sample from other samples previously taken. 

9. Red dye is used by the authorities to dye diesel fuel for two reasons: (a). To mark fuel not suitable for highwa\ use; (b). To 
identify fuel of which no road tax has been paid. 

10. Investigator Annis then took the sample directlv to the North Carolina Department of Agriculture lab for testing. Winston Sutton. 
Program Manager of the North Carolina Motor Fuel Inspection, supervises the North Carolina Department of Agriculture lab and 
oversaw the sample in the lab. including the testing. This completes the chain of custody regarding the fuel sample. 

1 1 . The subsequent lab results fi"om the Department of Agriculture reflected an unacceptable level of 10 parts per million of red dye. 
The average amount of red dye in diesel dyed for non-highway use is approximately II to 12 parts per million ranges. 

12. The instrument used b) the Department of Agriculture to test dye and sulfur level in motor fuel is a portable unit and is checked 
daily for calibration. 

13. The IRS sample of fuel from the Taxpayer's truck was sent to the Air Force Aerospace Fuels Laboratory (Air Force Lab) in 
Texas. That sample revealed 1 1 .9 mgs./ 1 1 of red dye in the motor fuel. The Air Force Lab's instrument used to test dye in fuel is 
a more sensitive instrument than that used by this State and is considered even more accurate in picking up dye levels in motor fuel. 

14. The Department of Agriculture's lab results of the sample of fuel taken from Taxpayer's truck also disclosed a high-sulfur content 
in Taxpayer's fuel of 0.1719 weight percentage. 

15.. High-sulfur diesel is non-highway diesel and cannot be legally used on the highways pursuant to EPA Rules. The EPA considers 
0.05 percent the maximum sulfur content standard by weight for highway diesel. 

16. Taxpayer was assessed a $1,000 penalty by Investigator Annis pursuant to G.S. 105-449.1 17 for the illegal use of dyed diesel 
in a vehicle registered to him as a result of the violation on November 1 9. 1 996. 

17. Taxpayer timely requested a hearing. Taxpayer was timely notified of the hearing dated. The Assistant Secretarv heard 
Ta.xpayer's case on Februan, 14. 1997. in the Department of Revenue Building. Raleigh. NC. The hearing record was held open to 
allow submission of additional evidence. Both parties submitted additional evidence. The Division submitted new evidence within 
the 30 days allowed after the hearing. Taxpayer was allowed to present additional information up to and including April 21. 1997. 
The record was held open until May 1. 1997. 

1 8. At the hearing. Taxpayer said he bought tax paid fuel for his truck approximateK three weeks prior to the stop where Investigator 
Annis took the sample. 

19. Taxpayer contended the color of the fuel was a result of the Oregon 2-cycle engine oil additive. This additive is made for use 
in chain saws. Taxpayer asserted that he used the additive to prolong engine life and promote efficient fuel utilization. 

20. The amount of Oregon 2-cycle engine oil additive Taxpayer contended he used would not produce the amounts of sulfur and d\e 
found in Taxpayer's fuel sample. 

21. After the hearing. Taxpayer submitted a receipt for 12.8 gallons of tax-paid diesel fuel obtained from Village Truck Stop, in 
Atkins. VA. The receipt does not indicate the name of the buyer of the fuel. 

22. The date on Taxpayer's receipt appears to be October 23. 1996. Hovsever. the date is not clear and the numbers and dashes in 
the date appear to be written over or possibK altered. Except for the two bottles of engine oil Ta\pa\ er presented at the he hearing, 
the receipt is the onK physical evidence tendered by Taxpayer. The receipt is not considered to be credible e\ idence. 



13:14 NORTH CAROLINA REGISTER January 15, 1999 1104 



IN ADDITION 



CONCLUSIONS OF LAW 

The Board considered the following conclusions of law made b\ the Assistant Secretan/' in the final decision: 

1 . Taxpayer was driving on a North Carolina highway on November 19. 1996. when he was assessed a civil penalty for violating 
North Carolina law. 

2. Pursuant to G.S. 1 05-449. 12 1(b)(4) and (5). Investigator Annis had the right to stop Taxpayer and obtain a sample of fuel from 
his vehicle's fuel tank. Investigator Annis did in fact stop the Taxpa\er and did take a fuel sample for examination and analysis. 

3. Investigator Annis identified himself as an investigator with the North Carolina Department of Revenue's Motor Fuels Tax 
Division. At all times relevant to the stop. Investigator Annis conducted himself as a Department of Revenue investigator. The 
accusation by the Taxpayer that Mr. Annis misrepresented his authorit) in order to take a fuel sample and therebv obtain property 
by false pretense is without merit. 

4. The accusation by the Taxpayer that Winston Sutton committed perjury is frivolous and without merit. 

5. Taxpayer unlawfully used dyed non-tax-paid diesel fuel in his vehicle. 

6. Pursuant to G.S. 105-449.1 17. Taxpayer was properly assessed the applicable $1,000 civil penalty. 

7. Taxpayer presented no evidence to suggest that the IRS may also impose a penalty against the Taxpayer for the illegal use of dyed 
diesel for a highway purpose. Any action the IRS may or may not have taken against Taxpayer does not constitute impermissible 
double jeopardy since double jeopardy does not attach to acts b\ different sovereigns. Moreover, an administrative agency does not 
have the authority or jurisdiction to resolve constitutional issues. 

8. The Department did not violate Taxpayer's due process rights in this matter when it issued the proposed assessment, and when 
it scheduled and conducted the administrative hearing as provided under G.S. 105-241.1 

9. Pursuant to G.S. 1 05-236( 1 1 ), Taxpayer's hearing was properK set at the Department of Revenue Building in Raleigh. NC. All 
necessary parties received notice of Taxpayer's hearing and were allowed an opportunitv' to be heard. No evidence has been 
improperK introduced or admitted against the Taxpa>er. 

DECISION 

The scope of administrative review for petitions filed with the Tax Review Board is governed by G.S. 1 05-24 1.2(b2). After 
the Board conducts a hearing this statute provides in pertinent part: 

(b2). "The Board shall confirm, modify, reverse, reduce or 
increase the assessment or decision of the Secretar\." 

The Board having conducted a hearing in this matter and having considered the petition, the brief on behalf of the Secretary, 
the record and the final decision of the Assistant Secretary, concludes that the findings of fact made b\ the Assistant Secretar> were 
supported b\ competent evidence in the record; that based upon the findings of fact, the Assistant Secretan.'s conclusions of law were 
full> supported b\ the findings of fact; therefore the decision of the Assistant Secretarv should be confirmed. 

IT IS THEREFORE ORDERED, that the Board confirms in even, respect the Assistant Secretarv 's final decision that 
sustained the proposed assessment of the penalt\ under G.S. 105-449.1 17 against the Taxpayer in this matter. 

Made and entered into this 16th da\ of November . 1998. 

/S/ Harlan E. Bovles. Chairman 

State Treasurer 

ISI Jo Anne Sanford. Member 

Chair. Utilities Commission 

ISI Noel L. Allen. .Appointed Member 



1105 NORTH CAROLINA REGISTER Januan 15, 1999 13:14 



IN ADDITION 



STATE OF NORTH CAROLINA 
COUNTY OF WAKE 



BEFORE THE 
TAX REVIEW BOARD 



IN THE MATTER OF: 

The Proposed Asssesments of County 
Use Tax for the period of Januarv 1 . 1994 
through November 30, 1996 by the Secretary 
of Revenue. 



vs. 



Jefferson-Pilot Life Insurance Co. 



ADMINISTRATIVE DECISION 
N11IMBER:349 



This matter was heard before the Tax Review Board in the city of Raleigh, on Tuesda\. August 1 8. 1 998. upon Ta\pa\er"s 
petition for administrative review of the Final Decision of the Secretary of Revenue sustaining a proposed assessment of count\ use 
tax, plus interest for the period of Januar\ 1. 1994, through November 30, 1996. Taxpayer was presented at the hearing b\ C. B. 
McLean, attorney at law. The Secretary' of Revenue was represented at the hearing by Kay Miller Hobart, Assistant Attomev General. 

Chairman Harlan E. Boyles, State Treasurer presided over the hearing with Jo Anne Sanford, Chair, Utilities Commission 
and duly appointed member, Noel L. Allen, Attorney at Law participating. 

Pursuant to G.S. 105-241.1, the Department mailed a Notice of Proposed Assessment to the Taxpayer on Januar\ 27. 1997. 
assessing additional tax, penalty and interest of $1 1,665.78 for the period of January I, 1994, through November 30, 1996. Taxpayer 
objected to the assessment and timeK requested a hearing before the Secretary of Revenue. B\ final decision entered on October 20. 
1997. the Assistant Secretan, sustained the assessment of count) use tax. plus interest on Taxpayer's purchases of tangible personal 
property for storage, use and consumption in this State. Because the failure to pay the tax was not the result of intentional action on 
the part oftheTaxpayer. the Assistant Secretary waived the penalties. Pursuant to G.S. 105-241.2, Taxpayer timely filed notice and 
petition for administrative review of the Assistant Secretary's final decision with the Tax Review Board. 

ISSUE 

The issue presented to the Board is stated as follows: 

Is Taxpayer liable for county use tax on its purchases of tangible personal property for storage, use and consumption in North 
Carolina or are such purchases exempt from local use tax pursuant to G.S. §105-228.10'' 

EVIDENCE 

The evidence presented at hearing before the Secretary of Revenue and included in the record presented to the Board is listed 
as follows: 

1 . Memorandum dated April 18, 1996, from the Secretary of Revenue to Assistant Secretary of Revenue, designated as Exhibit E-l . 

2. Fact sheet of audit report and supporting auditor comments, designated as Exhibit E-2. 

3. Notice of Proposed Assessment, designated as Exhibit E-3. 

4. Letter dated February 27. 1997, from the Taxpayer to the Department, designated as Exhibit E-4. 

5. Letter dated March 24. 1997, from the Division to the Taxpayer, designated as Exhibit E-5. 

6. Memorandum dated January 10, 1997, from the Office of the Attorney General, designated as Exhibit E-6. 



13:14 



NORTH CAROLINA REGISTER 



Januarv 15. 1999 



1106 



IN ADDITION 



7. Letter dated April 23, 1997, from the Taxpayer to the Division, designated as Exhibit E-7. 

8. Letter dated May 7, 1997. from the Division to the Taxpayer, designated as Exhibit E-8. 

9. Letter dated May 13, 1997, from the Assistant Secretary to the Taxpayer, designated as Exhibit E-9. 

10. Brief for Tax Hearing submitted by the Division, designated as Exhibit E-10. 

1 1 . Taxpayer's 1994 Annual Gross Premium and Retaliatory Tax Return, as Exhibit T-1. 

12. Taxpayer's 1995 Annual Gross Premium and Retaliatory Tax Return, Exhibit T-2. 

13. Taxpayer's 1996 Annual Gross Premium and Retaliatory Tax Return. Exhibit T-3. 

14. Letter dated July 22, 1997, from the Taxpayer's representative to the Assistant Secretary of Revenue, designated as Exhibit T-4. 

FINDINGS OF FACT 

The Board considered the following findings of fact made by the Assistant Secretary that were not disputed by the Taxpayer 
in its petition: 

1 . Taxpayer is engaged in business as an insurance company which was liable for and paid the gross premiums tax levied under 
Article SB of the Revenue Laws for the years of 1994, 1995, and 1996. 

2. Taxpayer purchased tangible personal property for storage, use or consumption from out-of-state sellers who did not collect the 
State and county use tax on the charges fort the property. Taxpayer did not accrue and remit to the Department, the State and 
county use tax on such purchases. 

3. Taxpayer has remitted to the Department the amount of additional State use tax and applicable interest determined to be due in 
the audit of Taxpayer's records. 

4. Taxpayer has not remitted to the Department the amount of additional county use tax and interest determined to be due in the 
audit of Taxpayer's records. 

5. Taxpayer remitted to in-state vendors the amount of State and county sales tax added to the sales price of tangible personal 
property sold by such sellers. 

6. Notice of proposed assessment was mailed on January 27, 1997, to the Taxpayer. 

7. Taxpayer objected to the assessment and made a timely request for hearing. 

ASSIGNMENTS OF ERROR 

In its petition, the Taxpayer asserts that the Assistant Secretary made the following errors in the final decision entered on 
October 20, 1 997: 

1. The Assistant Secretary erred by concluding as a matter of law that "Insurance companies are granted no specific 
exemption from sales or use tax under the Sales and Use Tax Law." (Conclusion of Law No. 2) 

2. The Assistant Secretary erred by concluding as a matter of law that the purpose of the use tax i :, !<• imposo the same 
burden on out-of-state purchases as the sales tax imposes on purchases within the State. (Conclusion of Law '';.) 4) 

3. The Assistant Secretary erred by concluding as a matter of law that the local sales and use taxes are to be administered 
in the same manner as State sales and use taxes. (Conclusion of Law No. 5) 

4. The Assistant Secretary erred by concluding as a matter of law that the Taxpayer is liable for County use tax on tangible 
personal property purchased out-of-state for storage, use, or consumption in the State. (Conclusion of Law No. 6) 

1107 NORTH CAROLINA REGISTER January' 15, 1999 13:14 



ly. ADDITION 



5. The Assistant Secretan erred in his Final Decision b\ finding "that the Ta\pa\er is liable for the count}, use tax on its 
purchases of tangible personal propert> for storage, use or consumption in this State." (Final Decision at page 8). 

CONCLUSIONS OF LAW 

The Board considered the following conclusions of law made by the Assistant Secretan. in the final decision: 

1 . Ta.xpayer purchased tangible personal property from in-state and out-of-state vendors for storage, use and consumption in the 
State. 

2. In-state retailers are liable for collecting and remitting the State and countv sales tax on their retail sales of tangible personal 
property to the State. 

3. Noticeof Proposed Assessment for the period of January I. 1994, through November 30. 1996. was issued pursuant to G.S. §105- 
241.1. 

DFXISION 

The tax at issue is the local use tax imposed by counties, under the authority of Articles 39, 40. and 42 of the North Carolina 
Revenue Laws. In 1945, the General Assembly enacted G.S. §105-228.10. 

The section is stated below: 

§105-228.10 No additional local taxes. 

No county, city, or town shall be allowed to impose any addition tax. license, or fee, other than ad valorem taxes, 
upon an\ insurance company or association paying the fees and taxes levied in this Article. 

On August 6, 1998. the General Assembly ratified Senate Bill 1226 and section 18 of the Bill amends G.S. §105-228.10 to read as 
follows: "No city or county may levy on a person subject to the tax levied in this Article a privilege tax or a tax computed on the basis 
of gross premiums."" (See Exhibit B attached to the brief for Secretary filed with Board on August 10. 1998.) 

The Explanation of Senate Bill 1226. Proposed House Committee Substitute. Revenue Laws Technical Changes, dated June 25. 1998. 
prepared b\ Martha H. Harris. Staff Attomev. to the House Finance Committee states in part: Section 18 "clarifies insurance companv 
tax exemption language."" "This section rewrites the statute to state that cities and counties are prohibited from lev\ ing a privilege 
license tax or a gross premiums tax on entities subject to gross premiums tax. The vague language of the statute is rewritten to clarifS 
that insurance companies are not exempt fi^oni local sales taxes, local meals taxes, and other similar taxes that the General AssembK 
has authorized for local governments since this was enacted in 1945."" (See Exhibit C attached to the Brief for the Secretarv filed with 
the Board on August 10. 1998.) 

The scope of administrative review for petitions filed with the Tax Review Board is governed by G.S. 105-241.2. The Board 
having conducted a hearing in this matter, and having considered the petition, the brief for the Secretarv. the record, the final decision 
of the Assistant Secretary, and the supplemental documents offered at the hearing concludes that the Assistant Secretary did not 
properly conclude that "[ijnsurance companies are granted no specific exemption from sales and use tax under the Sales and Use Tax 
Lav\."" When a statute is interpreted to have vague language, the ambiguity should be construed in favor of the Taxpaver and in light 
of the recent statutory change, the Board determines that this matter should be remanded to the Secretarv for further consideration. 

IT IS THEREFORE ORDERED, that the Board remands this matter to the Secretarv for further consideration. 
Made and entered into this 16th da) of December, 1998. 

/S/ Harlan E. Boyles. Chairman 

State Treasurer 

/S/ Jo Anne Sanford. Member 

Chair, Utilities Commission 



ISI Noel L. Allen, Appointed Member 



13:14 NORTH CAROLINA REGISTER January 1.'^, 1999 11 OS 



RULE-MAKING PROCEEDINGS 



A Notice of Rule-making Proceedings is a slatenient ofsubjecl matter of the agency's proposed rule making. The agency 
must publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of a 
rule. Publication of a temporary rule serves as a Notice of Rule-making Proceedings and can be found in the Register under 
the section heading of Temporary Rules. .4 Rule-making .Agenda published by an agency sen-es as Rule-making Proceedings 
and can be found in the Register under the section heading of Rule-making .Agendas. Statutoiy reference: G. S. I SOB- 21 . 2. 



TITLE 2 - DEPARTMENT OF AGRICULTURE 

CHAPTER 9 - FOOD AND DRUG PROTECTION 
DIVISION 



Statement of the Subject Matter: Establishes admission fees 
for the Moimtain State Fair Proposed changes would increase 
fees for adult admission and provide reduced admission fees for 



senior citizens. 



TV Totice of Rule-making Proceedings is hereby given by the 
J. V North Carolina Board of .Agriculture in accordance with 
G.S. 150B-21.2. The agency shall subsequently publish in the 
Register the text of the rule it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules AfTected by this Rule-Making: 2 

NC.AC 9K .0214. Other rules may be proposed in the course of 
the rule-making process. 



Authority for the rule-making: 

267 



G.S. 106-128; 106-253: 106- 



Statement of the Subject Matter: This rule establishes 
standards of identity for frozen yogurt. The proposed change 
would repeal portions of the rule which ha\-e been pre-empted 
by federal standards. 

Reason for Proposed Action: Since the adoption of this rule. 
Congress has pre-empted state standards of identity for food 
products that differ from federal standards. The portions of this 
rule which establish standards ofidentir\\for lowfat and nonfat 
yogurt differ from federal standards and are thus pre-empted. 

Comment Procedures: Written comments may be submitted 
to David S. McLeod. Secretaiy. Board of Agriculture. PO Box 
27647. Raleigh. NC 27611. 



CHAPTER 43 - MARKETS 

A Totice of Rule-making Proceedings is hereby given by the 

J. V North Carolina Board of .Agriculture in accordance with 
G.S. 150B-21.2. The agency shall subsequently publish in the 
Register the text of the ridels) it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

2 NC.AC 43 L . 0309. Other rules men' be proposed in the course 
of the rule-making process. 

Authority for the rule-making: G.S 106-530: 106-6.1 



Reason for Proposed Action: To provide additional revenue 
to meet increased operating expenses of Mountain State Fair 

Comment Procedures: Written comments may be submitted 
to David S. McLeod. Secretaiy. Board of .Agriculture. PO Box 
2764'^. Raleigh. NC2'611. 



TITLE 10 - DEPARTMENT OF HEALTH 
AND HUMAN SERVICES 

CHAPTER 1 - DEPARTMENTAL RULES 

TV Totice of Rule-making Proceedings is hereby given by the 
J. V DHHS-Office of the Controller in accordance with G.S. 
1 50B-21.2. The agency shall subsequently publish in the 
Register the text of the rulels) it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

10 NC.AC 1B.0418-.0420. Other rules may be proposed in the 
course of the rule-making process. 

Authority for the rule-making: G.S. 143-6.1 

Statement of the Subject Matter: Prior to the revision to 
Office of Management and Budget (OMB) Circular .A- 1 33. there 
were two separate federal circulars. M'hich governed audit for 
public authorities and for non-profit agencies. OMB Circular 
A-128 governed the requirements for public authorities and .4- 
133 governed audits for non-profit agencies. OMB .A-128 has 
been repealed. The revised .A- 133 now governs the audit 
requirements from an all-inclusive perspective: both public 
authorities and non-profits. The revised .A-133 circular 
increased the threshold for an audit to S300. 000 that will reduce 
the number of audits required of non-profit agencies. 

Reason for Proposed Action: Revisions i/re necessary due In 
recent changes to G.S. 143-6.1. Office of the StaU: liidiior's 
Audit Ad\-isoiy #2. and OMB Circular .A- 1 33. 

Comment Procedures: Comments may be submitted in writing 
to Gaiy Fuquay. DHHH Controller's Office. 616 Oberlin Road. 
Raleigh. NC 27605. 



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TITLE 12 -DEPARTMENT OF JUSTICE 

CHAPTER 7 - PRIVATE PROTECTIVE SERVICES 

A Totice of Rule-making Proceedings is hereby ^iven by the 
1 V AC Private Protective Services Board in accordance with 
G.S. 150B-2I.2. The agency shall subsequently publish in the 
Register the text of the rulels) it proposes to adopt us a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules AITected by this Rule-Making: 12 

NCAC 7D .0800. Other rules may be proposed in the course 
of the rule-making process. 

Authority for the rule-making: G.S. "40-5(2) 

Statement of the Subject Matter: Armed Security Guard 
Training and Registration. 

Reason for Proposed Action: 12 NCAC "D .0800 sets forth 
training and registration requirements for armed security- 
guards. The Board's Training and Education Committee is 
currently reviewing the existing training course and anticipates 
that changes will he made to the course that will require an 
amendment to the rules. 

Comment Procedures: Written comments should be submitted 
to Administrator ti'.A. Haggard. III. 3 i20 Old Garner Road. PO 
Box 29500. Raleigh. NC 27626. 



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CHAPTER 9 - CRIMINAL JUSTICE 
EDUCATION AND TRAINING STANDARDS 

A Totice of Rule-making Proceedings is hereby given by the 
1 V A'. C. Criminal Justice and Education and Training 
Standards Commission in accordance with G.S. I50B-2I.2. The 
agency shall subsequently publish in the Register the text of the 
rulefs) it proposes to adopt as a result of this notice of rule- 
making proceedings and any comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 12 

.\CAC 9B.0nr. .0I09-.0I10. .Oll2-.dll3. .0115. .0201:0208. 
.02 26-. 02 28. .0232-.0233. .0302-.0305. .0312. .0403-.040". 
.0414-. 0415: 9C .0211-0213. .0403: 9E.010''. Other rules may^ 
be proposed in the course of the rule-making process. 

Authority for the rule-making: G.S rC-6: HC-IO 

Statement of the Subject Matter: Amendments to require as 
a minimum standard that the Department of Correction may no 
longer certify applicants who have committed or have been 
convicted of a felony. .Amendments to adopt an updated Basic 
Law Enforcement Training Course including responsibilities 



and standards for trainees, instructors, and accredited schools. 
Amendments to adopt an updated basic training course for 
Wildlife Enforcement Officers. Amendments to update 
instructor titles, courses, and minimum standards. .Amendments 
to change requirements for training waiver 

Reason for Proposed Action: The Sortli Carolina Criminal 
Justice Education and Training Standards Commission has 
authorized rule-making authority to amend adopt repeal 
numerous administrative rules in order to better define the 
minimum employment and training standards that regulate the 
criminal justice officer profession in the State. Commission 
changes to the Basic Law Enforcement Training Course 
necessitate the change in Rules. 

Comment Procedures: liritten comments slunild be directed 
to Scott Peny. Deputy Director. Criminal Justice Standards 
Division. Room G-25. Old Education Building. 114 H'est 
Edenton Street. PO Drawer 149. Raleigh. NC 27602. 

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CHAPTER 12 - N.C. SHERIFFS' EDUCATION 
AND TRAINING STANDARDS COMMISSION 

A Totice of Rule-making Proceedings is hereby given by the 
J. V At' Sheriffs' Education and Training Standards 
Commission in accordance with G.S. 150B-2 1.2. The agency 
shall subsequently publish m the Register the text of the rules it 
proposes to adopt as a result of this notice of rule-making 
proceedings and any comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

12 NCAC lOB .0103. .0502. .0505-.0509. .0601. .0606-.0607. 
. 703. . 0908. . 1 002. . 1400. Other rules may be proposed In the 
course of the rule-making process. 

Authority for the rule-making: G.S. I'-E 

Statement of the Subject Matter: 

.0103 - Definitions - defines terms used throughout 12 NCAC 

lOB. 

.0502 - Basic Law Enforcement Training Course for Deputies - 

sets out blocks of instruction and hours for the slate-mandated 

training course for deputy sheriffs In North Carolina. 

.0505 - Evaluation for Training IVaiver - sets out qualification 

required for waivers of training to be granted for deputy sheriffs 

seeking certification in North Carolina. 

.0506 - Trainee Attendance - sets out attendance requirements 

for students enrolled in the Basic Lcnv Enforcement Training 

Course. 

.0507 - Completion of the Basic Law Enforeemeni Training 

Course - sets out regulations concerning authorizations for 

limited enrollment, excused absences, and make-up work. 

.0508 - Comp liritten Exam - Basic Lmv Enforcement Training 

Course - sets out regulations concerning the delivery and 

eligibility to sit for the state exam. 



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January 15. 1999 



1110 



RULE-MAKING PROCEEDINGS 



.0509 - Satisfaction of Minimum Training Requirements - sets 
out passing score for state exam: requires student to be 
proficient in skills taught in the course, and requires 
recommendation frotn the School Director that the student is so 
proficient as to be able to function as an inexperienced law- 
enforcement officer 

.0601 - Detention Officer Certification Course - sets out blocks 
of instruction and hours for the state-mandated training course 
for detention officers in North Carolina. 
.0606 - Comp Written Exam - Detention Officer Certification 
Course - sets out regulations concerning the delivery and 
eligibility to sit for the state exam. 

.0607 - Satisfaction of Minimum Training Requirements - sets 
out passing score for state exam; requires student to be 
proficient in skills taught in the course, and requires 
recommendation from the School Director that the student is so 
proficient as to be able to function as an inexperienced law 
enforcement officer 

.0703 - Administration of Detention Officer Certification Course 
- sets out responsibilities of the institution offering this course. 
.0908 - Limited Lecturer Certification - sets out qualifications to 
obtain certification to certain blocks of instruction in the 
Detention Officer Certification Course as a limited lecturer 
.1002 - General Provisions - sets out the general provisions for 
the Professional Certificate program for deputy sheriffs and 
sheriffs. 
.1400 - Reserved for Future Codification. 

Reason for Proposed Action: 

.0103 - Definitions: 

(1) - Technical change to name of Report of 
Appointment Form to be: "Form F-4". 

(17) - Clarification of the definition of "Sworn Law 
Enforcement Position" as used within 12 NCAC I OB. 

(18) - .Addition of definition of "General Powers of 
Arrest ". 

.0502 - Basic Lmv Enforcement Training Course for Deputies - 
revises current course blocks and hours. 
.0505 - Evaluation for Training Waiver - revises training 
waivers to allow a person who meets the qualifications as either 
a North Carolina applicant, out-of-state transferee, or federal 
transferee to choose benreen completing the entire Basic Law 
Enforcement Training Course or To submit to an initial 
assessment of his skills and knowledge and challenge the state- 
mandated exam. 

.0506 - Trainee .Attendance - deletion of this rule because 12 
NCAC lOB .0502(e) adopts be reference the administration of 
the Basic Lcru' Enforcement Training Course of the Criminal 
Justice Education and Training Standards Commission. 
.0507 - Completion of the Basic Law Enforcement Training 
Course - deletion of this rule because 12 NCAC lOB .0502(e) 
adopts be reference the administration of the Basic Law 
Enforcement Training Course of the Criminal Justice Education 
and Training Standards Commission. 

.0508 - Comp Written Exam - Basic Lcm' Enforcement Training 
Course - deletion of this rule because 12 NCAC lOB .0502(e) 
adopts be reference the administration of the Basic Law 
Enforcement Training Course of the Criminal Justice Education 



and Training Standards Commission. 

.0509 - Satisfaction of Minimum Training Requirements - 

deletion of this rule because 12 NCAC 1 OB .0502(e) adopts be 

reference the administration of the Basic Law Enforcement 

Training Course of the Criminal Justice Education and Training 

Standards Commission. 

.0601 - Detention Officer Certification Course - changes the 

hours of instruction to require 16 more hours: changes the name 

of ta-o blocks of instruction, requires each student to pass a 

literacy examination in order to enroll in the course. 

.0606 - Comp Written Exam - Detention Officer Certification 

Course - changes the state examination passing score to 80%. 

.0607 - Satisfaction of Minimum Training Requirements - 

changes the state examination passing score to 80%. 

.0703 - .Administration of Detention Officer Certification Course 

- sets out that the institution offering this course must maintain 

a test security agreement for the literacy test and must ensure 

enrollees are administered this literacy test. 

.0908 - Limited Lecturer Certification - changes two block 

names in accordance with the changes proposed to .0601 above. 

.1002 - General Provisions - correction to rule cite regarding 

the definition of a sworn law enforcement provision. 

.1400 - Reserved for Future Codification - adopts a new 

professional certification program to reward reserve ojficers for 

actual hours of service and completion of training beyond the 

state minimum mandate. 

Comment Procedures: Please contact the agency contact 
person (Peggy Bilbrey. PO Drawer 629. Raleigh. NC 27602) 
with any questions or comments concerning this information. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

CHAPTER 2 - ENVIRONMENTAL MANAGEMENT 

TV Totice of Rule-making Proceedings is hereby given by the 

1 V DENR-Environmental Management Commission in 
accordance with G.S. 150B-21.2. The agency shall subsequently 
publish in the Register the text of the rules it proposes to adopt 
as a result of this notice of rule-making proceedings and any 
comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

15A NCAC 2B .0303:0304. .0306. .03()S. Other rules may be 
proposed in the course of the rule-making process. 

Authority for the rule-making: G.S 143-214.1: 143-215: 
143-215. 3ta)(l) 

Statement of the Subject Matter: 

15A I\C.4C 2B .0303 - The Environmental Managciiient 
Commission is proposing to reclassif- Wesser Creek in Swain 
Count}- (Little Tennessee River Basin) to include the Trout (Tr) 
supplemental classification. Wesser Creek is proposed for 
reclassification from its source to Connelly Creek from Class C 



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NORTH CAROLINA REGISTER 



Januan 15, 1999 



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RULE-MAKING PROCEEDINGS 



to Class C Tr. A portion of Wesser Creek near its confluence 
with Connelly Creek currently carries the Trout classification. 
ISA NCAC 2B .0304 - The Environmental Management 
Commission is proposing to reclassify Rough Creek m HauvooiJ 
Count}- (French Broad River Basin) to include the Outstanding 
Resource Waters (ORW) supplemental classification. Rough 
Creek, from its source to the Canton Reservoir, including 
tributaries, is proposed for reclassification from Class WS-f to 
Class li'S-1 ORW Tr (Trout). 

ISA NCAC 2B .0306 - The Environmental Management 
Commission is proposing to reclassify the Green River in 
Henderson County (Broad River Basin) for primary recreation 
(Class B) and to include the High Quality Waters (H(JW) 
supplemental classification. The Green River and its tributaries 
are proposed for reclassification from their source to. and 
including. Rock Creek from Class C Tr to Class B Tr H(Jli . The 
Green River and its tributaries, from Rock Creek to Lake 
Summit, are proposed for reclassification from Class C Tr to 
Class B Tr 

ISA .\C.4C 2B .0308 - The Environmental Management 
Commission is proposing to reclassify Little Grassy Creek in 
.Aveiy County (Catawba River Basin) to include the Outstanding 
Resource Waters (ORW) supplemental classification. Little 
Grassy Creek, from its source to the Linville River including 
tributaries, is proposed for reclassification from Class C Tr to 
Class CTr ORW. 

Reason for Proposed Action: 

IS.4 NCAC 2 B .0303 - Studies conducted on IVe.s.'ier Creek show 
that the stream supports a naturally reproducing rainbow trout 
population and thus meet the criteria for supplemental 

classification as Trout waters, (f reclassified, wastewater 
dischargers to Wesser Creek will be required to comply with 
water quality standards for Trout waters as set forth in ISA 
NC.4C 2B .0200. Some of the water quality standards applied 
to Trout waters, such as the dissolved oxygen standard, are 
more stringent than the water quality standards applied to Class 
C waters. 

IS.i NC.4C 2B .0304 - The Town of Canton has requested thai 
Rough Creek be reclassified to include the supplemental ORW 
classification. In order to be classified as ORW. a water body 
must be of exceptional state or national recreational or 
ecological significance and the waters must have exceptional 
water quality. In addition, the waters must also exhibit one or 
more of the following resource values or uses: 

(1) there are outstanding fish (or commercially 
important aquatic species) habitat and fisheries: 

(2) there is an unusually high level of water-based 
recreation or the potential for such recreation: 

(3) the waters have already received some special 
designation such as a North Carolina or National 
Wild and Scenic River Native or Special .\ative 
Trout Haters. National IVildlife Refuge, etc. which 
do not provide any water quality protection: 

(4) the waters represent an important component of a 
state or national park or forest: or 

(5) the waters are of special ecological or scientific 



significance such as habitat for rare or 

endangered species or as areas for research and 

education. 

Hater qualit}- analyses show that Rough Creek has excellent 

water quality. Several outstanding resource values were 

identified, including: a reproducing brook trout population: the 

watershed is a designated Natural Heritage .-irea: there are 

plans to establish an educational facility under%\'ay: and a rare 

wetland hog community which supports several rare plant 

species was identified in the headwaters area. Special 

protection measures that apply to North Carolina ORWs are set 

forth in 15.4 NCAC 2B .0225. At a minimum, no new 

wastevt'ater dischargers or expansions to existing discharges are 

permitted, and stormwater controls for most new development 

are required. 

IS.4 SCAC 2B .0306 - Requests for reclassification of the 
Green River were submitted by a local property owner's 
association, independent properr\- owners and boy's camp. 
Water quality studies conducted on the Green River and its 
tributaries show that the streams meet the criteria for Classes B 
and H(JW in the areas proposed for reclassification as defined 
above. If reclassified, wastewater dischargers to the Green 
River will be required to comply with reliability standards set 
forth in ISA NC.4C 2H .0124. Reliability standards require 
facilities to insure continued treatment of wastewater during 
instances of power failure. New and expanding wastewater 
dischargers to the area affected by the proposed HOli 
reclassification in the Green River watershed will have 
additional treatment requirements. Projects which require a 
Sedimentation and Erosion Control Plan and which drain to and 
are within one mile of HQW streams will have more stringent 
land use development criteria as defined in ISA NCAC 2H 
. 1006. The criteria for designation to High Quality Waters as 
defined in ISA NCAC 2 B .0201 includes those waters which are 
rated as excellent based on biological and physical/chemical 
characteristics through Division monitoring or special studies, 
native and special native trout waters designated by the IVildlife 
Resources Commission, primary nurseiy areas designated by 
the Marine Fisheries Commission and other functional nursery 
areas designated by the I) ildlife Resources Co/nmission. critical 
habitat areas designated by the Wildlife Resources Commission 
or the Department of Agriculture, all water supply watersheds 
which are either classified as WS-1 or WS-1 1 has been received 
from the appropriate local government and accepted by the 
Division of Water Quality, arid all Class S.4 waters. The B 
classification is assigned to waters that are used for primary 
recreational purposes. Primary Recreation is defined in 
Division rules as "swimming, skin diving, skiing, and similar 
uses involving human body contact with water where such 
activities take place in an organized or on a frequent basts. " 
Under North Carolina rules, several criteria must be met before 
waters can be classified for primary recreation. These are: (I) 
the area must be of sufficient size and depth to support primary 
recreation: (2) fecal coliform concentrations must he less than 
200 colonies per 100 milliliters based on a geometric mean 
derived from five samples taken with a 30 day period: 1 3) there 
must be no sources of water pollution which c<nild result m a 
hazard to public health in close proximity to areas where 



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Junuan 15. 1999 



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RULE-MAKING PROCEEDINGS 



recreation occurs: and (41 primary- recreation must take place 
in an organized or on a frequent basis. 

15.4 NCAC 2B .0308 - .A request for classification of the 
headwaters of the Linville River to High Quality Waters (HQW) 
was submitted by a local golf club to the Division of Water 
Quality in 1997. The Linville River did not qualify for 
reclassification to HQW. However, during the water quality 
investigation it was determined that Little Grassy Creek, a 
tributaiy stream to the Linville River, qualified for supplemental 
classification as Outstanding Resource Waters. In order to be 
classified as ORW. a water body must be of exceptional water 
quality. In addition, the waters must also exhibit one or more of 
the following resource values or uses: 

(1) there are outstanding fish (or commercially 
important aquatic species) habitat and fisheries: 

(2) there is an unusually high level of water-based 
recreation or the potential for such recreation: 

(3) the waters have already received some special 
designation such as a North Carolina or National 
Wild and Scenic River Native or Special Native 
Trout Waters. National Wildlife Refuge, etc. which 
do not provide any water quality protection: 

(4) the waters represent an important component of a 
state or national park or forest: or 

(5) the waters are of special ecological or scientific 
significance such as habitat for rare or 
endangered species or as areas for research and 
education. 

Water quality analyses show that Little Grassy Creek has 
excellent water quality and supports a reproducing brook trout 
population, therefore qualifying this stream for ORW 
designation. Special protection measures that apply to North 
Carolina ORWs are set forth in I5A NC.4C 2B .0225. .4t a 
minimum, no new wastewater discharges or expansions to 
existing discharges are permitted, and stormwater controls for 
most new development are required. 

Comment Procedures: The purpose of this announcement is 
to encourage those interested in this proposal to provide written 
comments. It is very important that all interested and potentially 
affected persons or parties make their viev>'S known to the 
Environmental Management Commission whether in famr or 
opposed to any and all provisions of the proposal being noticed. 
Written comments, data, or other information relevant to this 
proposal may be submitted to: Li: Kovasckitz, DEN R" Division 
of Water Quality. Planning Branch. PO Box 29535. Raleigh, NC 
27626-0535. (919) 733-5083. extension 572. 



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CHAPTER 3 - MARINE FISHERIES 

A Jotice of Rule-making Proceedings is hereby given by the 
1 V North Carolina Marine Fisheries Commission in 

accordance with GS. 150B-21.2. The agency shall subsequently 
publish in the Resister the text of the rule it proposes to adopt as 
a result of this notice of rule-making proceedings and any 
comments received on this notice. 



Citation to Existing Rules Affected by this Rule-Making: 

15A NCAC 3. Other rules men' be proposed in the course of the 
rule-making process. 

Authority for the rule-making: GS 113-134: 113-182: 143B- 
289.52: S.L. 98-225: Section 6.10, S.L. 97-400 

Statement of the Subject Matter: Required mesh size for 
ocean haul seines: adoption of a temporaiy rule on production 
requirements for shellfish leases: size and creel limits for fish: 
temporary rules required for implementation of the Fisheries 
Reform Act. 

Reason for Proposed Action: Institution of a required mesh 
size for ocean haul seines would afford undersize weakfish 
protection: amendment to present rules on production 
requirements for shellfish leases would allow leaseholders to 
continue to substitute planting for production: implementation 
of size and creel limits for fish which will be authorized for take 
by Recreational Commercial Gear License holders will assure 
that overharvest of these species by this group does not occur: 
temporary rules to implement the new licensing system and 
other aspects of the Fisheries Reform Act are required. 

Comment Procedures: Written comments may be submitted 
to the Marine Fisheries Commission. Attention: .Juanita Gaskill. 
PO Box ^69. Morehead City, NC 2855^. The MFC will accept 
verbal comments at three public meetings to be held in January 
as follows: Janiiar}' 7, 1999 - Hatteras'Biaton Civic Center: 
Junuarv 14, 1999 - Dept of Environmental and Natural 
Resources Office. Wilmington, NC: January 19, 1999 - Duke 
Universin- Marine Lab. Beaufort, NC. 



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CHAPTER 10 - WILDLIFE RESOURCES 
AND WATER SAFETY 

TV Jotice of Rule-making Proceedings is hereby given by the 

1 V North Carolina Wildlife Resources Commission in 
accordance with GS. 150B-21.2. The agency shall subsequently 
publish in the Resister the text of the rule it proposes to adopt as 
a result of this notice of rule-making proceedings and any 
comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

15A NCAC IOC .0500. Other rules may be proposed in the 
course of the rule-making process. 

Authority for the rule-making: GS 113-132: 113-134 

Statement of the Subject Matter: hihintl fishing 

Regulations. Primaiy Nursery .Areas. 

Reason for Proposed Action: To set/amend the rules in inland 
fishing waters for primaiy nursery areas which are necessaiy to 
manage and conserve the resource. The Wildlife Resources 
Commission may adopt this rule as a lemporaiy rule piirsiiaiu 



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RULE-MAKING PROCEEDINGS 



to G.S. 1 50B-2 1 . 1 (a){l ) following this uhhrevluled notice. 

Comment Procedures: The record will he open for receipt of 
written comments from Junnury 15. 1999 to March 16. 1999. 
Such written comments miist he delivered or mailed to the North 
Carolina Wildlife Resources Commission. 512 N. Salisbury 
Street. Raleigh. NC 2^604- 11 SS. 

CHAPTER 10 - WILDLIFE RESOURCES AND 
WATER SAFETY 

TV Totice of Rule-making Proceedings is hereby given by the 

J. V Sorth Carolina (( 'ildlife Resources Commission in 
accordance with G.S. 150B-21.2. The agency shall subsequently 
publish in the Register the text of the rule it proposes to adopt as 
a result of this tiotice of rule-making proceedings and any 
comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

15A NCAC lOF .0300. Other rules may he proposed in the 
course of the rule-making process. 

Authority for the rule-making: G.S. "5.4-3: "5.4-15 

Statement of the Subject Matter: To adopt a rule for Hoke 
County and establish a no wake zone within the territorial 
waters of Hoke Count}: 

Reason for Proposed Action: The Hoke Counn- Board of 
Commissioners initialed the no-wake zone pursuant to G.S. 75.4- 
15 to protect public safety in the area by restricting vessel speed. 
The Wildlife Resources Commission may adopt this rule as a 
temporary rule pursuant to G.S. 150B-21. 1 (al) following this 
abbreviated notice. 

Comment Procedures: Written comments must he delivered 
or mailed to the .\'.C li'ildlife Resources Commission, 512 N. 
Salisbury Street. Raleigh. NC 2"M)4-1 1H8. 

■k'k'hit-k'k-k'kit-k'k-k-k-k'k'k-k-k-k'k 



CHAPTER 16 - ADULT HEALTH 



Statement of the Subject Matter: 

ISA NCAC 16.4 .1103 establishes limitations by the Program on 

amount paui per client per service. 

15.4 .\C.4C 16.4 .1104 restricts functional reconstructive 

surgery to those patients for whom the Program has also paid 

for another breast cancer treatment service arid allows meals 

and overnight accommodations only fir patients receiving 

covered sen-ices funded by the Program. 

ISA NC.4C 16.4 .1106 specifies swvival rate restrictions to be 

at time of application. 

Reason for Proposed Action: The North Carolina Cancer 
Control Program seeks to permanently revise its rules to 
incorporate a provision specifying a maximum amount (not to 
exceed one percent of the Program 's annual budget) for any 
service that can be paid for any client: to limit functional 
reconstructive surgery to a patient for whom the Program has 
paid for an additional breast cancer treatment: to limit lodging 
and meals to situations and circumstances where a patient has 
also received services also funded by the Program: and to 
determine survival rate restrictions for the Program to be based 
upon the time of submission of the request, not at the initial 
stage of the disease. These changes are necessitated to allow 
the Program to ensure that Program Rules will more precisely 
define allowed senices so the Program will he better able to 
provide services within allowed funding limits and for services 
which follow Program policies and guidelines. 
For the last tMo state fiscal years, the Cancer Control Program 
has experienced budget shortfalls. These rule changes will 
allow the Program to be more assured that Program rules 
specif}' precisely conditions under which the Program will pay 
so as to ensure higher levels of fiscal assurance, while still 
meeting the highest levels of medical appropriateness. It is not 
anticipated that there should be any increased funding needed 
by these changes as they essentially change the Rules to make 
them more precisely reflect Program policies and restrict any 
interpretation of Rules that could make potential increased 
requests for funding. Given current medical technological and 
cancer care changes, the Program will be better assured of 
staying within budgetaiy limits. It is not anticipated that these 
rule changes will add additional costs to the Program: to the 
contrary, by more precisely defining circumstances for which 
the Program will pay. funding limitations should be obsen-ed 
more precisely. 



TV Totice of Rule-making Proceedings is hereby given by the 

1 V Commission for Health Services in accordance with G.S. 
15(18-21.2. The agency shall subsequently publish in the 
Register the text of the rules it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

15A NCAC 16A .1103-1104. .1106. Other rules may be 
proposed in the course of the rule-making process. 

Authority for the rule-making: G.S' 1 30A-205 



Comment Procedures: Comments and other information may 
be submitted in writing to The Cancer Control Program. PO 
Box 29605, Raleigh, NC 27626-0605. Copies of the proposed 

rules and information packages may be obtained by contacting 
Phvllis Rochester at 1919) "15-3369. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER 14 - BOARD OF COSMETIC ART 
EXAMINERS 



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1114 



RULE-MAKING PROCEEDINGS 



TV Totice of Rule-making Proceedings is liereby given by the 
1 1 N.C. State Board of Cosmetic Art Examiners in accordance 
with G.S. 150B-21.2. The agency shall subsequently publish in 
the Register the text of the rules it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-lMaliing: 

21 NCAC 14A .0101. .0103: NC .0202: 14F .0101: 141 .0104. 
.0109: 14J.0208. .0501: 14L.0101. .0105. .0303: 14N .0101- 
.0103. .0105, .0108. .0112-.0113. Other rules may be proposed 
in the course of the rule-making process. 

Authority for the rule-making: G.S. 88B-4 

Statement of the Subject Matter: Rules for teaching 
cosmetology in an approved beauty school. 

Reason for Proposed Action: To update the curriculum for all 
schools. 

Comment Procedures: Written comments concerning this 
rule-making action must be submitted to Dee Williams. Rule- 
Making Coordinator N.C. State Board of Cosmetic Art 
Examiners. 1201-110 Front Street. Raleigh. NC 27609. 



{ 



1115 NORTH CAROLINA REGISTER Januan 15, 1999 13:14 



PROPOSED RULES 



This Section contains the text of proposed rules. At least 60 Jens prior to the publication of text, the agency publislied a Soiice 
of Rule-making Proceedings. The agency must accept comments on the proposed rule for at least 30 days from the publication 
date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment period is 60 days 
for a rule that has a substantial economic impact of at least fire million dollars ($5,000,000). Statutory reference: G.S. I50B- 

21 2 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

Notice is hereby given in accordance with G.S. I50B-21.2 
that the NC Wildlife Resources Commission intends to 
amend rule cited as 15A NCAC I OF .051' Notice of Rule- 
making Proceedings was published in the Register on October 
15. 1998. 

Proposed Effective Date: July I. 2000 

A Public Hearing will be conducted at 10:00 a.m. on Februar}- 
2. 1999 at the Archdale Building. Room 332. 512 /V. Salishwy 
Street. Raleigh. SC 2' 603. 

Reason for Proposed Action: The Stanly County Board of 
Commissioners initiated the no-wake zone modification 
pursuant to G.S. '5.A-15. 



area described in Paragraph (a) of this Rule. 

(c) Restricted Swimming Areas. No person operating or 
responsible for the operation of a vessel shall permit it to enter 
anv marked public swimming area established with the appro\al 
of the Executive Director, or his representative, on the waters of 
a regulated area described in Paragraph (a) of this Rule. 

(d) Speed Limit. No person shall operate a vessel at greater 
than no-v\ake speed within an> of the regulated area described 
in Paragraph (a) of this Rule. 

(e) Placement and Maintenance of Markers. The Board of 
Commissioners of StanK Countv is herebv designated a suitable 
agency for placement and maintenance of the markers 
implementing this Rule in accordance with the Unifonn S\ stem. 

Authority G.S. 75A-3: ''5A-15. 



TITLE 19A - DEPARTMENT OF TRANSPORTATION 



Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing. In addition, the 
record of hearing will be open for receipt of written comments 
from Januaiy 15. 1999 to February 15. 1999. Such written 
comments must he delivered or mailed to the \C Wildlife 
Resources Commission. 512 \. Salisbury Street. Raleigh. NC 
2-604-1188. 

CHAPTER 10 - WILDLIFE RESOURCES AND WATER 
SAFETY 

SUBCHAPTER lOF - MOTORBOATS AND WATER 
SAFETY 

SECTION .0300 - LOCAL WATER SAFETY 
REGULATIONS 

.0317 STANLY COUNTY 

(a) Regulated Areas. This Rule applies to the following 
waters and portions of waters described as follows: 



(1) 
(2) 



Narrows Reservoir (Badin Lake); 
Lakelillerv; 

(A) Turner Beach Cove as delineated by 
appropriate markers. 

(B) Mountain Creek Cove as delineated by 
appropriate markers. 

{i^ Harp e r H e m e Lak e — Harp e r H e m e Lak e Subdivision 

Cov e a s d e lin e at e d by appropr i at e mark e r s . 
(b) Speed Limit Near Ramps. No person shall operate a 
vessel at greater than no-wake speed within 50 \ards of an\' 
public boat launching ramp while on the waters of a regulated 



Notice is hereby given in accordance with G.S. 150B-21.2 
that the Department of Transportation intends to amend 
rule cited as 19A NC.4C 02D .0415. Notice of Rule-making 
Proceedings was published in the Register on October 15, 1998. 

Proposed Effective Date: .Inly 1. 2000 

Instructions on How to Demand a Public Hearing (must be 
requested in writing within 15 days of notice): A demand for a 
public hearing must be made in writing and mailed to Emily 
Lee. N.C. DOT PO Box 25201. Raleigh. NC 2'611. The 
demand must be received within 15 days of this Notice. 

Reason for Proposed Action: Amendments are proposed as a 
result of a request from the Carteret County Board of 
Commissioners. The drawbridge openings are reduced to 
alleviate traffic congestion during morning and afternoon rush 
hours. The U.S. Coast Guard approved the revised opening 
schedule for the Beaufort Channel drawbridge effective August 
10. 1998. 

Comment Procedures: Any interested person may submit 
comments of hie proposed rule by mailing the comments to 
Emily Lee. N.C. DOT PO Box 25201. Raleigh. NC 2^611 by 
Februaiy 15. 1999. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars (S5. 000.000) in a 12-month period. 



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1116 



PROPOSED RULES 



CHAPTER 2 - DIVISION OF HIGHWAYS 

SUBCHAPTER 2D - HIGHWAY OPERATIONS 

.0415 GENERAL REGULATIONS FOR 
DRAWBRIDGES 

(a) This Rule governs operation of drawbridges in North 
Carolina. AH other drawbridges not specifically noted in this 
Rule operate under normal Coast Guard regulations which give 
preference to water-borne traffic. For purposes of this Rule, the 
term on signal means the boat operator sounds his signal as 
defined by standard navigational practices. 

(b) The draw on the bridge on US 1 7 over the Neuse River 
at New Bern shall open on signal except that the draw may 
remain closed from Monday through Friday from 6:30 a.m. to 
8:30 a.m. and 4:00 p.m. to 6:00 p.m. for pleasure vessels. 
However, the draw shall open at 7:30 a.m. and 5:00 p.m. for any 
vessel waiting to pass. The draw may remain closed on Sundays 
and Federal holidays from May 24 through September 8 from 
2:00 p.m. to 7:00 p.m. for pleasure vessels except that the draw 
shall open at 4:00 p.m. and 6:00 p.m. for any vessels waiting to 
pass. The draw on this bridge shall always open on signal for 
public vessels of the United States, State, or local vessels used 
for public safety, tugs with tows and vessels in distress. 

(c) The draw on the bridge on US 70 Business over the Trent 
River at New Bern shall open on signal except that the draw may 
remain closed from Monday through Friday from 6:30 a.m. to 
8:30 a.m. and 4:00 p.m. to 6:00 p.m. for pleasure vessels. 
However, the draw shall open at 7:30 a.m. and 5:00 p.m. for any 
vessel waiting to pass. The draw may remain closed on Sundays 
and Federal holidays from May 24 through September 8 from 
2:00 p.m. to 7:00 p.m. for pleasure vessels except that the draw 
shall open on the hour and half hour for any vessels waiting to 
pass. The draw on this bridge shall always open on signal for 
public vessels of the United States, State, or local vessels used 
for public safety, tugs with tows, and vessels in distress. 

(d) The draw on the US 17B/Perquimans River Bridge at 
Hertford shall open on signal except that from midnight to 8:00 
a.m. from April 1 through September 30. and from 10:00 p.m. 
through 10:00 a.m., from October 1 through March 3 1 , the draw 
shall not open for the passage of vessels. 

(e) The bridge on US 17 over the Pamlico River at 
Washington shall open only upon 24-hour advance notice. 

(f) The bridge on SR 1 565 over the Tar River at Grimesland 
shall open only upon 24-hour advance notice. 

(g) The bridge on US 1 17-NC 133 over Smith's Creek just 
north of Wilmington shall open only upon 24-hour advance 
notice. 

(h) The draw on the bridge on US 70 over Beaufort Channel 
in Beaufort shall open on signal except that from 6:00 a.m. to 
10:00 p.m. the draw sha44 need onlv open for all vessels on 
signal every hour on the hour, 20 minutes past the hour, and 40 
minutes past the Iww: hour; except that on weekdays the bridge 
need not open at 7:40 a.m., 8:40 a.m., 4:40 p.m.. and 5:40 p.m. 

(i) The draw on the NC 50/lntracoastal Waterway Bridge at 
Surf City shall open on signal, except that from 7:00 a.m. to 7:00 
p.m. the draw shall open for pleasure craft if signaled only on 
the hour. 



(j) The draw on the bridge on US 74/76 over Intracoastal 
Waterway at Wrightsville Beach shall open on signal, except 
that from 7:00 a.m. to 7:00 p.m. the draw shall open for pleasure 
craft if signaled only on the hour. 

(k) The draw on the bridge on SR 1172 over Intracoastal 
Waterway at Sunset Beach shall open on the hour on signal for 
pleasure craft between 7:00 a.m. to 7:00 p.m. , April 1 through 
November 30, except that on Saturdays, Sundays, and Federal 
holidays, from June I through September 30 the draw shall open 
on the hour on signal for pleasure craft between 7:00 a.m. and 
9:00 p.m. 

(1) The draw of the bridge on US 158 over the Pasquotank 
River at Elizabeth City shall open on signal; except that between 
7:00 a.m. and 9:00 a.m., and 4:00 p.m. and 6:00 p.m., Monday 
through Friday, the draw need open only at 7:30 a.m., 8:30 a.m., 
4:30 p.m. and 5:30 p.m. for any pleasure vessels waiting to pass. 

AulhorinG.S. 136-18(5). 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 10 - BOARD OF CHIROPRACTIC 
EXAMINERS 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the NC Board of Chiropractic Exattiiners intends to 
amend rule cited as 21 NCAC 10 .0203. Notice of Rule-making 
Proceedings was published in the Register on June 1, 1998. 

Proposed Effective Date: July 1. 2000 

A Public Hearing will he conducted at 2:00 p.m. on Februaiy 
4. 1999 at the Office of Board of Examiners. 174 Church St. 
North. Concord. NC 28025. 

Reason for Proposed Action: To give effect to a statutory 
change that allows applicants for chiropractic licensure who 
pass a nationally-administered examination to he licensed 
without having to take the state examination. 

Comment Procedures: Written comtnents may be submitted to 
the NC Board of Chiropractic Examiners. P.O. Box 312. 
Concord. NC 28026-0312. Comments will be accepted through 
February 15. 1999. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does not 
have a substantial economic impact of at least five million 
dollars (S 5. 000.000) in a 12-month periml 

SECTION .0200 - PRACTICE OF 
CHIROPRACTIC 

.0203 EXAMINATIONS 

(a) Eligibility. Only those applicants who meet the 



1117 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



PROPOSED RILES 



requirements of G.S. 90-143. or in the case of reciprocity, 
applicants. G.S. 90-143.1, and who have submitted a timelv and 
complete written application pursuant to 21 NCAC 10 .0202 
shall be allowed to take the examination. 

(b) Date of Examination. The examination shall be given 
twice annually. The spring examination shall commence on the 
first Saturdav after the first Tuesdas in June. The fall 
examination shall commence on the first Saturda\ after the first 
Tuesda\ in November. .Applicants eligible for examination will 
be notified of the exact date, time and location of the 
examination as soon as possible after their written applications 
have been approved by the Board. 

(c) Nat i onal Boards. — In ord e r to tak e th e North Carolina 
portion of the examination, an applicant must fir s t hav e tak e n 
and pa s sed each of th e following e xamination s giv e n by th e 
National Bo a rd of Chiropractic Examin e r s : Part I. Part II. Part 
in — (WCCE) — afi^ — the — ele ct i v e — e xamination — (t e rm e d — " 

Physioth e rapy" by th e National Board). It s hall b e th e 

applicant's responsibility to arrang e for hi s t es t r e sult s from th e 
Nat i onal Board e xamination s to b e r e port e d to th e North 
Caro l ina Board in advanc e of th e dat e of th e North Carolina 
portion of the examination. National Boards. In order to take 
the North Carolina portion of the examination or otherwise 
demonstrate clinical prof1cienc\. an applicant must first achieve 
a score of 375 or higher on each of the following examinations 
given by the National Board of' Chiropractic Examiners: Part L 
Part 11, Part 111 (WCCE) and the elective examination (termed 
"Physiotherapy" bv the National Board). An applicant must then 
demonstrate clinical proficiency, either by passing the North 
Carolina portion of the examination as described [n Parag raphs 
(d) and (e) of this Rule or b> achieving a score of 475 or higher 
on Part IV of the National Board examination. 

( 1 ) An applicant who otherwise meets all requirements 
for licensure and who submits proof of a Part IV 
score of 475 or higher shall be issued a license on the 
next examination date specified in Paragraph (b) of 
this Rule. 

(2) It shall be the applicant's responsibility to arrange for 
his test results from any National Board examination 
to be reported to the North Carolina Board in a timeK 
manner. Failure to compK v\ith this provision shall 
be a basis for delaNing the issuance of a licens e. 

(d) Nature of Examination. The North Carolina portion of the 
examination is intended to test an applicant's prot1cienc\ in the 
practical aspects of chiropractic and to augment the information 
submitted in his written application. It is administered oralK and 
may include questions on the following subjects: x-ra\ ; general 
office practice: and chiropractic analysis, procedure, 
examination, diagnosis and treatment. No part of the North 
Carolina portion of the examination is open-book, and no 
reference material of an\ kind shall be allowed in the 
examination area. 

(e) Passing Grade. To pass the examination, an applicant 
must answer correctly a minimum of 65 percent of the questions 
on each subject and must also answer correctly an average of 75 
percent of all the questions on the examination. An applicant 
who fails because of a deficienc\ in only one subject may be 
re-examined in that subject the next time the examination is 



given and shall not be required to pa\ another application fee. 
An applicant who fails the examination for an\ other reason 
must re-take the entire examination and pa\ another application 
fee. 

(0 Review of Examination Results. An applicant who has 
been denied licensure because of failing examination grades may 
request a review of his answers provided his request is made in 
writing and received by the secretary not later than 20 da\ s after 
issuance of the examination results. The review shall be limited 
to a re-tabulation of the applicant's test scores to make certain no 
clerical errors were made in grading. Applicants shall not 
discuss their examinations w ith Board members, graders or test 
administrators. 

Autliorin- G.S. 9U-I42: 9U-N3: 90-145: 90-148. 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



Ills 



TEMPOHARY RULES 



The Codifier of Rules has entered the following temporary ntle(s) in the North Carolina Administrative Code. Pursuant to 
G.S. I50B-21.1(e). publication of a temporary- rule in the North Carolina Register senses as a notice of rule-making 
proceedings unless this notice has been previously published by the agency. 



TITLE 2 - DEPARTMENT OF AGRICULTURE 

Rule-making Agency: North Carolina Department of 

Agriculture and Consumer Services 

Rule Citation: 2 NCAC 54.0101 - .0105 

Effective Date: December 15. 1998 

Findings Reviewed by Julian Mann: Approved 

Authority for the rule-making: S.L 1998-212. s. 13.5 

Reason for Proposed Action: Session Law 1998-212. Section 
13.5 created a grant program for purchase of animal waste 
managemerit equipment by family-owned dairies. The 
legislation requires the Department of Agriculture and 
Consumer Services to adopt rides establishing guidelines for 
disbursing the funds. Abbreviated notice was provided by mail 
to all dairy farmers in the state, and comments were solicited 
from them prior to adoption of the temporaiy rules. Adherence 
to AR4 notice and hearing requiretnents woidd delay the 
availability of grant funds to dairy farmers. 

Comment Procedures: Written comments may be submitted no 
later than Febriiaiy 15. 1999. to David S. Mcleod. APA 
Coordinator North Carolina Department of Agriculture. Legal 
Affairs Office. P.O. Box 2''646. Raleigh. NC 27611. 

CHAPTER 54 - GRANT PROGRAMS 

SECTION .0100 - WASTE MANAGEMENT 
EQUIPMENT GRANTS FOR DAIRIES 

.0101 PURPOSE 

The purpose of thjs Chapter is to estabhsh guidehnes for 
disbursing grants to familv-owned dajry farms for the purchase 
of animal waste management equipment, pursuant to Section 
13.5 of Session Law 1998-212. 

History Note: .Authority- SL. 1998-212. s. 13.5: 
Temporar\' Adoption Eff. December 15. 1998. 

.0102 DEFINITIONS 

As used in this Chapter. 

( 1 ) "Dairy cow" means a cow that is being used for milk 
production; 

(2) "FamiK-owned dairv farm" means a dairy farm that is 
owned or leased by one or more individuals who are 
actively involved jn the operation ot' the farm, or a 
dairy farm owned by a business entity which is 
controlled b\ such individuals. 



History Note: Authority S.L. 1998-212. s. 13.5: 
Tetnporar\' Adoption Eff. December 15. 1998. 

.0103 ELIGIBILITY 

Familv-owned dairy farms which were m operation prior to 
January 1. 1998. and which have fewer than 300 dairv cows are 
eligible to apply for grants under this program. 

History^ Note: .Authority S L 1998-212. s. 13.5: 
Temporary .Adoption Eff. December 15. 1998. 

.0104 USE OF GRANTS 

Grants shall be used for the purchase of equipment that is a 
component of an animal waste management system and that is 
used solely for transporting, storing, or distributing animal 
waste. This equipment shall be limited to: pumps, spraying 
equipment, scrape blades, box blades, storage equipment, and 
any transport equipment, including tanks, spreaders, and 
applicators. Grants shall not be used to enlarge or maintain 
anaerobic lagoons. Grants shall not be used to purchase 
equipment in connection with the Agricultural Cost-Share 
Program administered by the Soil and Water Conservation 
Commission pursuant to G.S. 143-215.74. or in connection with 
any other government program. 

History Note: Authority S L. 1998-212. s. 13.5: 
Temporan- Adoption Eff December 15. 1998. 

.0105 AVAILABILITY AND AMOUNT OF 
GRANTS 

Availability of grants is subject to appropriation of funds bv 
the General Assembly. The amount of individual grants will be 
determined by the Commissioner of Agriculture based upon 
availability of funds, number of applications, and other factors 
necessary to ensure that funds are distributed in a fair and 
equitable manner. 

HistoiyNote: .Authority- S. L. 1998-212. s. 13.5: 
Temporaiy Adoption Eff December 15. 1998. 



TITLE 10 - DEPARTMENT OF 
HEALTH AND HUMAN SERVICES 

Rule-making Agency: Division of Facility Services 

Rule Citation: 10 NC.4C 3R. 1613. .1615. .r'13 I'l5..t012 
-.1914. .2113. .2713. .2715. .4203. .6201 - .6241 

Effective Date: Januaiy 1. 1999 

Findings Reviewed and Approved by: Beecher Gray 



1119 



NORTH CAROLINA REGISTER 



Januaiy 15, 1999 



13:14 



TEMPOHARY RILES 



Authorit} for the rule-making: G.S. 13IE-r6(25): 131 E- 
r^(l): iilE-IH3(hl 

Reason for Proposed Action: Temporary rule-making is 
necessary- because the annual planning process does not leave 
the Department the time necessary to use permanent rule- 
making. The annual planning process is outlined in Chapter I 
of the plan 

Comment Procedures: Questions or comments concerning the 
rules should be directed to: Jackie Sheppard. Rule-making 
Coordinator Division of Facility Senices. ^01 Barbour Drive. 
Department of Health and Human Sen-ices. Raleigh. MC 27603. 

Fiscal Note: Rules 10 \C.4C 3R .620H - .6212. .6220 - .6222. 
.6224. .6226. .6228 - .6229. .6233 - .6234 affect the 
expenditures, revenues or distribution of Slate and local 
government funds subject to the Executive Budget Act. Article 1 
of Chapter 143. These Rules do hcn^e a substantial economic 
impact of at least five million dollars (S5. 000. 000) in a 12-month 
period. 

Fiscal Note: Rules 10 NCAC 3R .1613. .1615. .ri3 - .1715. 
.1912-. 1914. .2113. .2''13. .2-^15. .4203. .6201 -.6207 .6213- 
.6219 .6223. .6225. .622". .6230 - .6232 do not affect the 
expenditures or revenues of state or local government funds. 
These Rules do not have a substantial economic impact of at 
least five million dollars ($5,000,000) in a 12-monih period. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3R - CERTIFICATE OF NEED 
REGULATIONS 

SECTION .1600 - CRITERIA AND STANDARDS FOR 

CARDIAC CATHETERIZATION EQUIPMENT AND 

CARDIAC ANGIOPLASTY EQUIPMENT 



.1613 

The 
Section 
(1) 



(2) 



(3) 



DEFINITIONS 

following definitions shall apply to all rules in this 

"Approved" means the equipment was not in 
operation prior to the beginning of the review period 
and had been issued a certificate of need or had been 
acquired prior to March 18. 1993 in accordance with 
1993N.C.Sess. Lawsc. 7. s. 12. 
"Capacity" of an item of cardiac catheterization 
equipment or cardiac angioplasty equipment means 
1270 1370 diagnostic-equivalent procedures per year. 
One therapeutic cardiac catheterization procedure is 
valued at -k4? 1.75 diagnostic-equivalent procedures. 
One cardiac catheterization procedure perfonned on 
a patient age 14 or under is valued at two 
diagnostic-equivalent procedures. All other 

procedures are valued at one diagnostic-equivalent 
procedure. 
"Cardiac angioplasty equipment" shall have the same 



meaning as defined in G.S. 131E-176(2e). 

(4) "Cardiac catheterization equipment" shall have the 
same meaning as defined in G.S. 13 IE- 176(20- 

(5) "Cardiac catheterization procedure", for the purpose 
of determining utilization in a certificate of need 
review, means a single episode of diagnostic or 
therapeutic catheterization which occurs during one 
visit to a cardiac catheterization room, whereby a 
flexible tube is inserted into the patient's bodv and 
advanced into the heart chambers to perform a 
hemodvnamic or angiographic examination or 
therapeutic intervention of the left or right heart 
chamber, or coronarv arteries. A cardiac 
catheterization procedure does not include a simple 
right heart catheterization for monitoring purposes as 
might be done in an electrophysiology laboratory, 
pulmonary angiographv procedure, cardiac pacing 
through a right electrode catheter, temporary 
pacemaker insertion, or procedures performed in 
dedicated angiography or electrophysiology rooms. 

(6) "Cardiac catheterization room" means a room or a 
mobile unit in which there is cardiac catheterization or 
cardiac angioplasty equipment for the perfomiance of 
cardiac catheterization procedures. Dedicated 
angiography rooms and electrophysiologv rooms are 
not cardiac catheterization rooms. 

(7) "Cardiac catheterization service area" means a 
geographical area defined by the applicant, which has 
boundaries that are not farther than 90 road miles 
from the facility, if the facility has a comprehensive 
cardiac services program: and not farther than 45 road 
miles from the facility if the facilitv performs onl\ 
diagnostic cardiac catheterization procedures; except 
that the cardiac catheterization service area of an 
academic medical center teaching hospital designated 
in 10 NCAC 3R shall not be limited to 90 road miles. 

(8) "Cardiac catheterization services" means the pro\ ision 
of diagnostic cardiac catheterization procedures or 
therapeutic cardiac catheterization procedures 
perfonned utilizing cardiac catheterization equipment 
or cardiac angioplastv equipment in a cardiac 
catheterization room. 

(9) "Comprehensive cardiac services program" means a 
cardiac services program which provides the full 
range of clinical services associated with the treatment 
of cardiovascular disease including communirv' 
outreach, emergenc> treatment of cardiovascular 
illnesses, non-invasive diagnostic imaging modalities, 
diagnostic and therapeutic cardiac catheterization 
procedures, open heart surgen. and cardiac 
rehabilitation services. Community outreach and 
cardiac rehabilitation services shall be provided b\ the 
applicant or through arrangements v\ ith other agencies 
and facilities located in the same city. All other 
components of a comprehensive cardiac senices 
program shall be provided within a single facility. 

(10) "Diagnostic cardiac catheterization procedure", for the 
purpose of determining utilization in a certificate of 



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TEMPORARY RULES 



need review, means a cardiac catheterization 
procedure performed for the purpose of detecting and 
identifying defects or diseases in the coronary arteries 
or veins of the heart, or abnormalities in the heart 
structure, but not the pulmonarv arter>. 

(11) "Electrophysiolog>' procedure" means a diagnostic or 
therapeutic procedure performed to study the 
electrical conduction activity of the heart and 
characterization of atrial ventricular arrhythmias. 

(12) "Existing" means the equipment was in operation 
prior to the beginning of the review period. 

(13) "High-risk patient" means a person with reduced life 
expectancy because of left main or multi-vessel 
coronary artery disease, often with impaired left 
ventricular function and with other characteristics as 
referenced in the American College of 
Cardiology/American Heart Association Guidelines 
for Cardiac Catheterization and Cardiac 
Catheterization Laboratories (1991) report. 

(14) "Mobile equipment" means cardiac angioplasty 
equipment or cardiac catheterization equipment and 
transporting equipment which is moved to provide 
services at nvo or more host facilities. 

(15) "Percutaneous transluminal coronary angioplasty 
(PTCA)" is one type of therapeutic cardiac 
catheterization procedure used to treat coronary artery 
disease in which a balloon-tipped catheter is placed in 
the diseased artery and then inflated to compress the 
plaque blocking the artery. 

(16) "Primary cardiac catheterization service area" means 
a geographical area defined by the applicant, which 
has boundaries that are not farther than 45 road miles 
from the facility, if the facility has a comprehensive 
cardiac services program; and not farther than 23 road 
miles from the facility if the facilitv performs onK 
diagnostic cardiac catheterization procedures; except 
that the primary cardiac catheterization service area of 
an academic medical center teaching hospital 
designated in 10 NCAC 3R shall not be limited to 45 
road miles. 

( 1 7) "Therapeutic cardiac catherization procedure", for the 
purpose of determining utilization in a certificate of 
need review, means a cardiac catheterization 
procedure performed for the purpose of treating or 
resolving certain anatomical or physiological 
conditions which have been determined to exist in the 
heart or coronary arteries or veins of the heart, but not 
the pulmonary artery. 

Hisloiy Note: Filed as a Temporary Amendmenl Eff. 

September I. 1993 for a period of 180 days or until the 

permanent rule becomes effective, whichever is sooner: 

Authority G.S. I3IE-I77(i): 131E-I83: 

Eff January I. 1987: 

Amended Eff November 1. 1996: February 1. 1994: 

Temporary- Amendment Eff. Jamtan- 7^ 1999. 

.1615 REQUIRED PERFORMANCE STANDARDS 



(a) The An applicant shall demonstrate that the project is 
capable of meeting the following standards: 

( 1 ) each proposed item of cardiac catheterization 
equipment or cardiac angioplasty equipment, 
including mobile equipment, shall be utilized at an 
annual rate of at least 60 percent of capacity, 
measured during the fourth quarter of the third year 
following completion of the project; 

(2) if the applicant proposes to perform therapeutic 
cardiac catheterization procedures, each of the 
applicant's therapeutic cardiac catheterization teams 
shall be performing at an annual rate of at least 100 
therapeutic cardiac catheterization procedures, during 
the third year of operation following completion of 
the project; 

(3) if the applicant proposes to perform diagnostic cardiac 
catheterization procedures, each diagnostic cardiac 
catheterization team shall be performing at an annual 
rate of at least 200 diagnostic-equivalent cardiac 
catheterization procedures bv the end of the third year 
following completion of the project; 

f3-) £4) at least 50 percent of the projected cardiac 
catheterization procedures shall be performed on 
patients residing within the primary cardiac 
catheterization service ar e a; area. 

(b) An applicant proposing to acquire mobile cardiac^ 
catheterization or mobile cardiac angioplasty equipment shall: 

(4-) yj demonstrate that each existing item of cardiac 
catheterization equipment and cardiac angioplasty 
e quipm e nt in e ach faci l itv which ha s a primary 
cardiac cath e t e rization se rvic e ar e a that ov e rlaps 
equipment, excluding mobile equipment, located m 
the proposed primar>' cardiac catheterization service 
area of each host facilitv shall have been operated at 
a level of at least 80 percent of capacity during the 1 2 
month period reflected in the most recent licensure 
form on file with the Division of Facility Services; 

(^ (2j demonstrate that the utilization of each existing or 
approved item of cardiac catheterization equipment 
and cardiac angioplasty e quipm e nt equipment, 
excluding mobile equipment, located in e ach facility 
which ha s a primary ' cardiac cathet e rization s e rvic e 
ar e a that ov e rlaps the proposed primars cardiac 
catheterization service area of each host facilit\ shall 
not be expected to fall below 60 percent of capacity 
due to the acquisition of the proposed cardiac 
catheterization, cardiac angioplasty, or mobile 
equipment; 

(4^ if th e applicant proposes to perform diagnostic cardiac 

cath e t e rization proc e dur es , e ach diagnostic cardiac 
cathet e rization t e am shall b e peFfonning-at an-ar>fH;a4 
rat e of at l e ast 200 diagi wsfi^'-eqwvaleHt -ea:yjia>; 
cath e t e rization proc e dur es b\ th e e nd t>fthe third -y eat' 
following compl e tion of th e proj e ct; 

f?) (3j demonstrate that each item of existing mobile 
equipment operating in the proposed primary cardiac 
catheterization service area of each host facilit\ shall 
have been performing at least an average of four 



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diagnostic-equivalent cardiac catiieterization 
procedures per day per site in the proposed cardiac 
catheterization service area in the 12 month period 
preceding the submittal of the application; aftd 
f8-) t4j demonstrate that each item of existing or 
approved mobile equipment to be operating in the 
proposed primary cardiac catheterization service area 
of each host facility shall be performing at least an 
average of four diagnostic-equivalent cardiac 
catheterization procedures per day per site in the 
proposed cardiac catheterization service area in the 
applicant's third year of op e ration, operation; and 
(5) provide documentation of aJJ assumptions and data 
used in the development of the projections required m 
this Rule, 
(c) An applicant proposing to acquire cardiac catheterization 

or cardiac angioplast\ equipment that js not mobile cardiac 

catheterization equipment shall: 

(1) demonstrate that each of its existing items of cardiac 
catheterization and cardiac angioplasty equipment, 
except mobile equipment, located ]n the proposed 
cardiac catheterization service area operated at a level 
of at least 80° o of capacitN during the twelve month 
period retlected in the most recent licensure renewal 
application form on fije with the Division of Facility 
Services; 

(2) demonstrate that each of its existing items of cardiac 
catheterization equipment or cardiac angioplasty 
equipment, except mobile equipment, shall be utilized 
at an annual rate of at least 60 percent of capacity, 
measured during the fourth quarter of the third vear 
following completion of the project; and 

(3) provide documentation of aH assumptions and data 
used in the development of the projections required in 
this Rule. 

fb) (dj If the applicant proposes to perform cardiac 
catheterization procedures on patients age 14 and under, the 
applicant shall demonstrate that it meets the following 
additional criteria: 

(1 ) the facilit\ has the capability to perform diagnostic 
and therapeutic cardiac catheterization procedures and 
open heart surgery services on patients age 14 and 
under: 

(2) the proposed project shall be performing at an annual 
rate of at least 100 cardiac catheterization procedures 
on patients age 14 or under during the fourth quarter 
of the third year following initiation of the proposed 
cardiac catheterization procedures for patients age 1 4 
and under. 

fe) — An — applicant — shaW — provid e — docum e ntation — of all 
a ss umption s and data u se d in th e d e v e lopm e nt of th e proj e ction s 
r e quir e d in th i s Rul e . 

History- Note: Filed as a Temporary Amendment Eff. 
September I. 1993 for a period of 180 days or until the 
permanent rule heeomes effeetive. whichever is sooner: 
Authority G.S. IiIE-I77(l): Ii!E-!H3: 
Eff. .Janiiaiy 1 . 1987: 



Amended Eff. November 1. 1996: February I. 1994: 
Temporary Amendment Eff. January- J_^ 1999. 

SECTION .1700 - CRITERIA AND STANDARDS FOR 

OPEN-HEART SURGERY SERVICES AND 

HEART-LUNG BYPASS MACHINES 



.1713 

The I 
Section: 
(1) 



(2) 

(3) 
(4) 



DEFINITIONS 

bllowing definitions shall appK to all rules in this 

"Capacity " of an op e n h e art s urg e rv room a heart-lung 
bypass machine means 400 adult-equivalent open 
heart surgical procedures per year. One open heart 
surgical procedure on persons age 14 and under is 
valued at two adult open heart surgical procedures. 
For purposes of determining capacity, one open heart 
surgical procedure is defined to be one visit or trip by 
a patient to th e op e n h e art s urg e r> an operating room 
for an open heart operation. 

"Cardiac Surgical Intensive Care Unit" means a 
distinct intensive care unit as defined in 10 NCAC 3R 
.1213(2) and which is for exclusive use b\ post- 
surgical open heart patients. 

"Heart-lung bypass machine" shall have the same 
meaning as defined in G.S. 1 3 1 E- 1 76( 1 Oa). 
"Open heart surgery service area" means a 
geographical area defined by the applicant, which has 
boundaries that are not farther than 90 road miles 
from the facility, except that the open heart surgery 
service area of an academic medical center teaching 
hospital designated in 10 NCAC 3R t^O^O shall not be 
limited to 90 road miles. 

"Open heart surgery services" shall have the same 
meaning as defined in G.S. 13IE-176( 18b). 
"Open heart surgical procedures" means highly 
specialized surgical procedures which: 

(a) utilize a heart-lung bypass machine (the 
"pump") to perform e.xtra-corporeal circulation 
and oxygenation during surgery ; 

(b) are designed to correct congenital and acquired 
cardiac and coronary disease; and 

(c) are identified by Medicare Diagnostic Related 
Group ("DRG") numbers 104. 105. 106. 107. 
and 108. 

{T) "Open h e art s urg e ry room" m e an s an operating room 

primarily — tjsed — te — p e rform — op e n — h e art — s urg i cal 
proc e dur es , as reported on th e mo s t curr e nt ho s pita l 
l ic e n s ur e application. 
"Op e n h e art s urg e ry program" m e ans all of th e op e n 



(5) 
(6) 






h e art s urg e ry rooms op e rat e d in on e ho s pital. 
(7) "Primary open heart surgery service area" means 
a geographical area defined by the applicant, which 
has boundaries that are not farther than 4.^ road miles 
from the facility, except that the primary open heart 
surgery sery ice area of an academic medical center 
teaching hospital designated te in 1 NCAC 3R .3050 
shall not be limited to 45 road miles. 



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TEMP0JL4RY RULES 



History Note: Filed as a Temporary Amendment Eff. 

September 1. 1993 for a period of 180 days or until the 

permanent rule becomes effective, whichever is sooner; 

A uthority G.S. 131 E-lVfl): 1 31 E-l 83: 

Eff. Januaiy 1 , 1987; 

Amended Eff. November I. 1996; Januan,' 4. 1994: November 

1. 1989; 

Temporarj' .Amendment Eff. Jamiary f 1999. 

.1714 INFORMATION REQUIRED OF 
APPLICANT 

(a) An applicant that proposes to add an open heart surgery 
room or to acquire a heart-lung bypass machine shall use the 
acute care facility/medical equipment application form. 

(b) The applicant shall also provide the following additional 
information: 

( 1 ) #»« — proj e ct e d — numb e r — ef — epen — h e art — surgical 
proc e dur e s to b e compl e t e d in e ach op e n h e art s urg e r\' 
room and the projected number of open heart surgical 
procedures to be performed on each heart-lung bypass 
machine owned by or operated in the facility for each 
of the first 12 calendar quarters following completion 
of the proposed project, including the methodology 
and assumptions used to make these projections; 

(2) the projected number of cardiac catheterization 
procedures to be completed in the facility for each of 
the first 12 calendar quarters following completion of 
the proposed project, including the methodology and 
assumptions used for these projections; 

(3) the applicant's experience in treating cardiovascular 
patients at the facility during the past 12 months, 
including: 

(A) the number of patients receiving stress tests; 

(B) the number of patients receiving intravenous 
thrombolytic therapies; 

(C) the number of patients presenting in the 
Emergency Room or admitted to the hospital 
with suspected or diagnosed acute myocardial 
infarction; 

(D) the number of cardiac catheterization 
procedures performed, by type of procedure; 

(E) the number of patients referred to other 
facilities for cardiac catheterization or open 
heart surgical procedures, by type of 
procedure; 

(F) the number of patients referred to the 
applicant's facility for cardiac catheterization or 
open heart surgical procedures, by type of 
procedure; 

(G) the number of open heart surgen.' procedures 
performed by type of procedure during the 
twelve month period reflected in the most 
recent licensure form on file with the Division 
of Facility Services; 

(4) the number of patients from the proposed open heart 
surgerv' service area who are projected to receive open 
heart surgical procedures by patient's county of 
residence in each of the first 12 quarters of operation 



including the methodology and assumptions used to 
make the projections; 

(5) the number of patients from the proposed primary 
open heart surgery service area who are projected to 
receive open heart surgical procedures by patient's 
county of residence in each of the first 12 quarters, 
including the methodology and assumptions used to 
make these projections; 

(6) the projected patient referral sources; 

(7) evidence of the applicant's capability to communicate 
efficiently with emergency transportation agencies 
and with all hospitals serving the proposed service 
area; 

(8) the number and composition of open heart surgical 
teams available to the applicant; 

(9) a brief description of the applicant's in-service 
training or continuing education programs for open 
heart surgical team members; and 

(10) evidence of the applicant's capability to perform both 
cardiac catheterization and open heart surgical 
procedures 24 hours per day, 7 days per week. 

Histoty Note: Filed as a Temporaiy Amendment Eff 

September 1. 1993 for a period of 180 days or until the 

permanent rule becomes effective, whichever if sooner: 

.Authority G.S 131E-177(1); 131 E- 183: 

Eff January 1. 1987; 

.Amended Eff. November 1. 1996; Januaiy 4. 1994; November 

1, 1989; 

TemporaiT Amendment Eff. Januaiy f 1999. 

.1715 REQUIRED PERFORMANCE STANDARDS 

The applicant shall demonstrate that the proposed project is 
capable of meeting the following standards: 

f-H — e ach op e n h e art surg e r>' room shall b e utiliz e d at an 
annual rat e of at l e ast 50 p e rc e nt of capacity, 
m e asur e d — during th e twelfth — quart e r — following 
compl e tion of th e proj e ct; 

(3-) UJ the applicant shall perform at least 4 diagnostic 
catheterizations per open heart surgical procedure 
during each quarter; 

{¥) [21 a MD applicant's existing and new or additional 
heart-lung bypass machin e machines shall be utilized 
at an annual rate of 200 open heart surgical 
procedures p e r y e ar, per machine, measured during 
the twelfth quarter following completion of the 
project; project, with the exception that this standard 
may be waived for a second machine exclusively used 
for backup and owned by any hospital that js 
proposing to develop new open heart s urgery services 
and acquired jts heart-lung bypass iiiachines piMor to 
March 18, 1993, but was unable to use siich niachijies 
because jt did not have a certitlcato ot" need 
authorizing it to provide open heart surge ry services; 

f4) QJ at least 50 percent of the projected open heart 
surgical procedures shall be performed on patients 
residing within the primary open heart surgery service 
area; 



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(4^ each existing op e n heart surgen' program in e ach 

facility which has a primar , op e n h e art surg e r> 
s c r i 'icc area that ov e r l ap s th e propo se d primarv' open 
heart surger\ s e rv i c e ar e a operat e d at a l e v e l of at 
least 8 p e rc e nt of capacity during th e 12 month 
p e riod r e fl e ct e d in the most r e c e nt lic e n s ur e form on 
f i l e with th e Divi si on of Fac i lit> S e rvic es ; 

f6) the utilization of e xisting op e n heart surgerv programs 

who se primarv' op e n h e art s urg e ry s e rvic e ar e a 
overlaps th e propo se d primarv op e n heart surgerv 
s e rvic e area is not expected to fall below 50 perc e nt 
of capac i ty du e to th e institution of th e n e w or 
e xpand e d op e n h e art s urg e ry program; 

f7^ £4) the applicant's projected utilization and proposed 
staffing patterns are such that each open heart surgical 
team shall perform at an annual rate of at least 150 
open heart surgical procedures b\ the end of the third 
\ear following completion of the project; 

{%) (5J the applicant shall document the assumptions and 
provide data supporting the methodology used to 
make these projections; and 

(4^ (6J heart-lung bypass machines that have been 
acquired for non-surgical use. or for non-heart 
surgical procedure use. and that are dedicated for 
services that are not related to the open heart surgery 
program, services, shall not be utilized in the 
performance of open heart surgical procedures. 

History Sole: Filed as a Temporary Amendment Eff. 

September I. 1995 for a period of 180 days or until the 

permanent rule becomes effective, whichever is sooner: 

Authority G.S. I31E-177(J): !3IE-I83(b): 

Eff Januaiy 1. 1987: 

Amended Eff. Januaty 4. 1994: November 1. 1989: 

Temporary Amendment Eff. January f 1999. 

SECTION .1900 - CRITERIA AND STANDARDS FOR 
RADIATION THERAPY EQUIPMENT 

.1912 DEFINITIONS 

These definitions shall appK to all rules in this Section: 

(1) "Approved linear accelerator" means a linear 
accelerator which was not operational prior to the 
beginning of the review period but which had been 
issued a certificate of need or had been acquired prior 
to March 18, 1993 in accordance with 1993 N.C. 
Sess. Laws c. 7. s. 12. 

(2) "Complex Radiation treatment" is equal to i 1.25 
ESTVs and means: treatment on three or more sites on 
the bod\; use of special techniques such as tangential 
fields with wedges, rotational or arc techniques; or 
use of custom blocking. 

(3) "Equivalent Simple Treatment Visit [ESTV]" means 
one basic unit of radiation therapy which normally 
requires up to 15 minutes for the uncomplicated set- 
up and treatment of a patient on a modem 
megavoltage teletherapv unit including the time 
necessar\ for portal filming. 



(4) "Existing linear accelerator" means a linear 
accelerator in operation prior to the beginning of the 
review period. 

(5) "Intermediate Radiation treatment" means treatment 
on two separate sites on the body, three or more fields 
to a single treatment site or use of multiple blocking 
and is equal to 3 LK) ESTVs. 

(6) "Linear accelerator" means MRT equipment which is 
used to deliver a beam of electrons or photons in the 
treatment of cancer patients. 

(7) "Linear accelerator service area" means a 
g e ographical ar e a, d e fin e d by th e applicant, in which 
a lin e ar acc e lerator provid es s e rvic e s and in which no 
le ss than 120.000 p e r s on s r es id e , single or multi- 
county area as used jn the development of the need 
determination in the applicable State Medical 
Facilities Plan. 

(8) "Megavoltage unit" means MRT equipment which 
provides a form of teletherapv that involves the 
deliver} of energv greater than, or equivalent to. one 
million volts b> the emission of x-ra\s. gamma rays, 
electrons, or other radiation. 

(9) "Megavoltage radiation therapy (MRT)" means the 
use of ionizing radiation in excess of one million 
electron volts in the treatment of cancer. 

( 1 0) "MRT equipment" means a machine or energy source 
used to provide niega\oltage radiation therap\ 
including linear accelerators and other particle 
accelerators. 

(11) "Radiation therapv equipment" means medical 
equipment which is used to provide radiation therapy 
services. 

(12) "Radiation therapy services" means those services 
which involve the delivery of precisely controlled and 
monitored doses of radiation to a v\ell defined \olume 
of tumor bearing tissue within a patient. Radiation 
may be delivered to the tumor region b\ the use of 
radioactive implants or b\ beams of ionizing radiation 
or it may be delivered to the tumor region 
systemicalK. 

(13) "Radiation therapv service area" means the 
g e ographic ar e a in which rad i at i on th e rap\ se rvic e s 
ar e propos e d to b e provid e d bv th e applicant a single 
or multi-countN area as used m the development of the 
need determination in the applicable State Medical 
Facilities Plan. 

(14) "Simple Radiation treatment" means treatment on a 
single site on the body, single treatment field or 
parallel opposed fields with no more than simple 
blocks and is equal to 1 ESTV. 

(15) "Simulator" means a machine that preciseK 
reproduces the geometric relationships of the MRT 
equipment to the patient. 

(16) "Special technique" means radiation therap_\ 
treatments that ma\ require increased time for each 
patient visit including: 

(a) total bod\ irradiation (photons or electrons) 
which equals 4.0 ESTVs; 



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(b) hemi-body irradiation which equals 2.0 
ESTVs; 

(c) intraoperative radiation therapy which equals 
10.0 ESTVs; 

(d) particle radiation therapy which equals 2.0 
ESTVs; 

(e) dynamic conformational radiation therapy with 
moving gantry, collimators or couch which 
equals 1.5 ESTVs; 

(f) limb salvage irradiation at lengthened SSD 
which equals 2t0 U) ESTV; 

(g) additional field check radiographs which 
equals tO$ ^ ESTV; and 

(h) stereotactic radiosurgery treatment 

management which equals 6t0 3J) ESTVs. 

Histon' Note: Filed as a Temporary Adoption Eff. September 

1, 1993 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner: 

Authority as. 13IE-177(1>: 131E-I83: 

Eff. January 4. 1994: 

Amended Eff .November 1 . 1996: 

Temporaiy Amendment Eff. January' /^ 7999. 

.1913 INFORIVIATION REQUIRED OF APPLICANT 

(a) An applicant proposing to acquire radiation therapy 
equipment shall use the Acute Care Facility /Medical Equipment 
application form. 

(b) An applicant proposing to acquire radiation therapy 
equipment shall also provide the following additional 
information: 

fl-) — a d e scription of th e boundaries of the propos e d 
radiation th e rapy s e rvic e ar e a or th e propo se d lin e ar 
acc e l e rator s e rvic e ar e a if th e applicant propos e s to 
acquir e a lin e ar acc e l e rator; 

(5) a list of th e e xisting radiation th e rapy e quipm e nt in 

t he propos e d radiation th e rapy s e rvic e ar e a or lin e ar 
acc e l e rator se rvic e area; 

f3-) yj a list of all the radiation therapy equipment to be 
acquired and documentation of the capabilities and 
capacities of each item of equipment; 

f4^ 12} documentation of the purchase price and fair 
market value of each piece of radiation therapy 
equipment, each simulator, and any other related 
equipment proposed to be acquired; 

(#-) (3J the projected number of patient treatments by 
county and by simple, intermediate and complex 
treatments to be performed on each piece of radiation 
therapy equipment for each of the tlrst eight calendar 
quarters following the completion of the proposed 
project and documentation of all assumptions by 
which utilization is projected; 

f6) (4J documentation that the proposed radiation therapy 
equipment shall be operational at least seven hours 
per day, five days a week; 

f7) £5J documentation that no more than one simulator is 
available for every two linear accelerators in the 
applicant's facility, except that an applicant that has 



only one linear accelerator may have one simulator; 
{%) (6) documentation that the services shall be offered 

in a physical environment that conforms to the 

requirements of federal, state, and local regulatory 

bodies; and 
(^ (7j the projected number of patients that will be 

treated for cure and the number of patients that will be 

treated for palliation on each linear accelerator on an 

annual basis. 

History Note: Filed as a Temporan,- Adoption Eff. September 

/. 1993 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner: 

Authority G.S 131E-177(1): 13IE-183: 

Eff:Januaiy4. 1994: 

Amended Eff. November I, 1996: 

Temporary Amendment Eff January l_^ 1999. 

.1914 REQUIRED PERFORMANCE STANDARDS 

(a) An applicant proposing to acquire a linear accelerator 
shall demonstrate that each of the following standards shall be 
met: 

( 1 ) eaeh an applicant's existing linear accelerator in th e 
propo se d s e rvic e ar e a served at least 250 patients or 
provided 6,500 ESTV treatments in the twelve months 
prior to the date the application was submitted; 

(2) each proposed new linearaccelerator shall be utilized 
at an annual rate of 250 patients or 6.500 ESTV 
treatments during the third year of operation of the 
new equipment; and 

(3) e ach an applicant's existing and approv e d linear 
accelerator shall be projected to be utilized at an 
annual rate of 250 patients or 6,500 ESTV treatments 
during the third year of operation of the new 
equipment. 

(b) A linear accelerator shall not be held to the standards in 
Paragraph (a) of this Rule if the applicant provides 
documentation that the linear accelerator has been or shall be 
used exclusively for clinical research and teaching. 

(c) An applicant proposing to acquire radiation therapy 
equipment other than a linear accelerator shall provide the 
following information: 

( 1 ) the number of patients that are projected to receive 
treatment from the proposed radiation therapy 
equipment, classified by type of equipment, diagnosis, 
treatment procedure, and county of residence; and 

(2) the maximum number and type of procedures that the 
proposed equipment is capable of performing. 

(d) The applicant shall document all assumptions and provide 
data supporting the methodology used to determine projected 
utilization as required in this Rule. 

Histoiy Note: Filed as a Temporaiy Adoption Ljf. Septembei 

1, 1 993 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner: 

Authority G.S 131E-I77(1): 

EffJanuaiy4. 1994: 

Amended Eff. November 1. 1996: 



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Temporan' Amendment Eff. Jam/an' l^ 1999. 

SECTION .2100 - CRITERIA AND STANDARDS FOR 
AMBULATORY SURGICAL SERVICES 

.2113 DEFINITIONS 

The following definitions shall appK to all rules in this 
Section: 

( 1 ) "Ambulaton. surgical case" means an indi\ idual who 
receives one or more ambulatorv surgical procedures 
in an ambulator) surgical operating room during a 
single operative encounter. 

(2) "AmbulatoPv surgical service area" means a single or 
multi-count}, area as used in the development of -1-0 
NCAC 3R .3030. the ambulaton surgical facilit\ need 
determination in the applicable State Medical 
Facilities Plan. 

(3 ) "Ambulatory surgical services" means those surgical 
services provided to patients as part of an ambulaton, 
surgical program within a licensed ambulaton, 
surgical facility or a general acute care hospital 
licensed under G.S. 1 3 1 E, Article 5, Part A. 

(4) "Ambulaton, surgical facility" means a facilitv' as 
defined in G.S. 13 IE- 1 76(1 a). 

(5) "Ambulator) surgical operating room" means a 
dedicated or shared operating room in a licensed 
ambulatory surgical facility, or a general acute care 
hospital licensed under G.S. 1 3 1 E, Article 5. Part A. 
that is fully equipped to perform surgical procedures 
and is constructed to meet the specifications and 
standards, including fire and life safety code 
requirements, appropriate to the tspe of facility as 
utilized b\ the Construction Section of the Division of 
Facilitv Services. Ambulators surgical operating 
rooms exclude operating rooms dedicated for the 
performance of inpatient surgical procedures, cast 
rooms, procedures rooms that do not meet operating 
room specifications, suture rooms, YAG laser rooms, 
and cystoscopy and endoscopy procedure rooms that 
do not meet the specifications of an operating room. 

(6) "Ambulators surgical program" means a program as 
defined in G.S. 131 E-I76( lb). 

(7) "Ambulaton, surgical procedure" means a surgical 
procedure performed in a surgical operating room 
which requires local, regional or general anesthesia 
and a period of post -operative obsenation of less than 
24 hours. Ambulatory surgical procedures exclude 
those procedures which are generalK performed more 
than 50 percent of the time in a ph>sician's office. 

(8) "Existing ambulatorv surgical operating rooms" 
means those ambulatorv surgical operating rooms in 
ambulatory surgical facilities and hospitals which 
were reported in the License Application for 
Ambulatory Surgical Facilities and Programs and in 
Part III of Hospital Licensure Renewal Application 
Form submitted to the Licensure Section of the 
Division of Facility Services and which were licensed 
and certified prior to the beginning of the review 



period. 
(9) "Approved ambulator) surgical operating rooms" 
means those ambulator) surgical operating rooms that 
were approved for a certificate of need b) the 
Certificate of Need Section prior to the dale on which 
the applicant's proposed project was submitted to the 
Agenc) but that have not been licensed and certified. 
The term also means those operating rooms which the 
Certificate of Need Section determined were not 
subject to certificate of need review and which were 
under construction prior to the date the applicant's 
proposal was submitted to the Agenc). 

(10) "Dedicated ambulator, surgical operating room" 
means an ambulator) surgical operating room used 
solel) for the performance of ambulator) surgical 
procedures. 

(11) "Multispecialt) ambulator) surgical program" means 
a program as defined in G.S. I31E-I76(15a). 

(12) "Shared surgical operating room" means an 
ambulator) surgical operating room that is used for 
the performance of both ambulator) and inpatient 
surgical procedures. 

(13) "Specialt) area" means an area of medical practice in 
which there is an approved medical specialt)' 
certificate issued by a member board of the American 
Board of Medical Specialties and includes, but is not 
limited to the following; g)Tiecolog). otolar)ngolog). 
plastic surger). general surger). ophthalmolog)-, 
urolog), orthopedics, and oral surger). 

(14) "Special!) ambulator) surgical program" means a 
program as defined in G.S. I31E-I76(24c). 

(15) "Practical utilization" is 4.3 surgical cases per da) for 
a dedicated ambulator) surgical operating room and 
3.5 surgical cases per da) for a shared surgical 
operating room. 

Histoiy Note: Filed us a Temporajy Amendment Ejf. 

September I. 1993 for a period of 180 days or unlil the 

permanent rule becomes effective, whichever is sooner: 

Authority G.S. I31E-1": I3IE-183(b): 

EJf November I. 19911: 

.Amended Eff Januaiy 4. 1994: March 1. 1993: 

Temporary .Amendment Eff January f 1999. 

SECTION .2700 - CRITERIA AND STANDARDS FOR 
MAGNETIC RESONANCE IMAGING SCANNER 



.2713 

The 

Section 
(1) 



DEFINITIONS 

following definitions shall appK to al 



rules in this 



(2) 



"Approved MRI scanner" means an MRl scanner 
which was not operational prior to the beginning of 
the review period but which had been issued a 
certificate of need or had been acquired prior to 
March 18. 1993 in accordance with 1993 N.C. Sess. 
Laws c. 7. s. 12. 

"Existing MRI scanner" means an MRI scanner in 
operation prior to the beginning of the review period. 



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Januarv 15, 1999 



1126 



TEMPORARY RULES 



(3) "Magnetic Resonance Imaging" (MRI) means a 
non-invasive diagnostic modalit\' in which electronic 
equipment is used to create tomographic images of 
body structure. The MR! scanner exposes the target 
area to nonionizing magnetic energy and radio 
frequency fields, focusing on the nuclei of atoms such 
as hydrogen in the body tissue. Response of selected 
nuclei to this stimulus is translated into images for 
evaluation by the physician. 

(4) "Magnetic resonance imaging scanner" (MR! 
Scanner) is defined in G.S. 1 3 1 E-1 76( 1 4e). 

(5) "Mobile MRI scanner" means an MRI scanner and 
transporting equipment which is moved to provide 
services at two or more host facilities. 

(6) "MRI procedure" means a single discrete MRI stud> 
of one patient. 

(7) "MRI service area" means the g e ographic ar e a d e fin e d 
bv the applicant, a single county or multi-count\ area 
as used in the development of the need determination 
in the State Medical Facilities Plan. 

(8) "MRI study" means one or more scans relative to a 
single diagnosis or symptom. 

History- Note: Filed as a Temporaiy Adoption Eff. September 

1, 1993 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner: 

Authority G.S. 131E-177(I): 131E-183(b): 

Eff. Fehruaiy 1. 1994: 

Temporan' Atnendtnent Eff. January' /^ 7999. 

.2715 REQUIRED PERFORMANCE STANDARDS 

(a) An applicant proposing to acquire a mobile magnetic 
resonance imaging (MRI) scanner, including a mobile MRI 
scann e r, shall: 

(1) demonstrate that all existing MRI scanners, e xc e pt 
mobil e MRI scann e rs, except those moved to provide 
services at more than one site, operating in the 
propo se d MRI service area in which the proposed 
MRI scanner will be located performed at least 2,032 
MRI procedures in the last year; 

(2) project annual utilization in the third year of operation 
of at least 2,032 MRI procedures per \ear, for each 
proposed MRI scanner or mobile MRI scanner to be 
operated by the applicant in the proposed MRI service 
area in which the proposed MRI scanner will be 
located; 

(3) demonstrate that all of the existing MRI scann e rs 
scanners, except mobile, operating in the proposed 
MRI service area shall be performing at least 2,032 
MRI procedures per \ear in the applicant's third year 
of operation; 

(4) demonstrate that all of the approved MRI s cann e r s 
scanners, except mobile, in the proposed MRI service 
area shall be performing at least 2,032 MRI 
procedures per >ear in the applicant's third Near of 
operation; 

(5) demonstrate that all existing mobile MRI scanners 
operating in the proposed MRI service area performed 



at least an average of eight procedures per day per site 
in the proposed MRI service area in the last year and 
shall be performing at least an average of eight 
procedures per day per site in the proposed MRI 
service area in the applicant's third year of operation; 

(6) demonstrate that all approved mobile MRI scanners to 
be operating in the proposed MRI service area shall 
be performing at least an average of eight procedures 
per day per site in the proposed MRI service area in 
the applicant's third year of operation; and 

(7) document the assumptions and provide data 
supporting the methodology used for each projection 
required in this Rule. 

(b) An applicant proposing to acquire a magnetic resonance 
imaging (MRI) scanner that is not a mobile MRI scanner shall: 

(1) demonstrate that its existing MRI scanners, except 
mobile MRI scanners, operating in the proposed MRI 
service area in which the proposed MRI scanner will 
be located performed at least 2,032 MRI procedures 
m the last year; 

(2) project annual utilization in the third year of operation 
of at least 2,032 MRI procedures per year, for each 
MRI scanner or mobile MRI scanner to be operated 
by the applicant in the proposed MRI service area in 
which the proposed equipment will be located; and 

(3) document the assumptions and provide data 
supporting the methodology used for each projection 
required in this Rule. 

Histoiy Note: Filed as a Temporaiy Adoption Eff. September 

1 . 1993 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner: 

.Authority'G.S 131E-177(1): 131E-183(b): 

Eff. Februaiy 1 . 1994: 

Temporan- .imendment Eff. Januan- ]_^ 1999. 

SECTION .4200 - CRITERIA AND STANDARDS FOR 

HOSPICES, HOSPICE INPATIENT FACILITIES, AND 

HOSPICE RESIDENTIAL CARE FACILITIES 

.4203 REQUIRED PERFORMANCE STANDARDS 

(a) An applicant proposing to develop hospice inpatient 
facility beds or hospice residential care facilitv' beds shall 
demonstrate that: 

( 1 ) the average occupancy rate of the licensed beds in the 
facility is projected to be at least 50% for the last six 
months of the first operating year following 
completion of the project; 

(2) the average occupancv rate for the licensed beds in the 
facilit> is projected to be at least 65° o for the second 
operating year following completion of the project; 
and 

(3 ) if the application js submitted to addre ss the need foi- 
a hospice residential care facility or hospice inpatient 
facility for a contiguous grouping of counties, each 
existing facility which is located in the hospice 
service area and which has licensed beds of the type 
proposed by the applicant attained an occupancy rate 



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Januan- 15, 1999 



13:14 



TEMPORARY RULES 



of at least 65% for the 1 2 month period reported on 
that facility's most recent Licensure Renewal 
Application Form. 

(b) An applicant proposing to add beds to an existing hospice 
inpatient facilit> or hospice residential care facility shall 
document that the average occupanc\ of the licensed hospice 
inpatient and hospice residential care facilit\ beds in its existing 
facility was at least 65% for the nine months immediately 
preceding the submittal of the proposal. 

(c) An applicant proposing to develop a hospice shall 
demonstrate that no less than SCo of the total number of da\s of 
hospice care furnished to Medicaid and Medicare patients will 
be provided in the patient's residence in accordance w ith 42 CFR 
418.302(f)(2). 

History- Note: A itthority G.S. 13IE-r^ll) : 

Eft: July I. 1994: 

Temporan' Anwndment Eff. January l_^ 1999. 

SECTION .6200 - PLANNING POLICIES AND NEED 
DETERMINATIONS FOR 1999 

.6201 APPLICABILITY OF RULES RELATED TO 
THE 1999 STATE MEDICAL FACILITIES 
PLAN 

Rules .6201 through .6205 and .6207 through .6241 of this 
Section apply to certificate of need applications for which the 
scheduled review period begins during calendar year 1999. jn 
addition. Rule .6206 of this Section will be used to implement 
procedures described within it durin g calendar \ear 1999. 

History Note: Aiithorit}- GS. 13IE-r6l25): l3!E-n7(/); 

I3IE-I83lb): 

Teniporar\- Adoption Eff. January l_^ 1999. 

.6202 CERTIFICATE OF NEED REVIEW 
CATEGORIES 

The agency has established ten categories of facilities and 
services for certificate of need review and will detennine the 
appropriate review category or categories for alj applications 
submitted pursuant to 10 NCAC 3R .0304. For proposals which 
include more than one category, the agency may requi re the 
applicant to submit separate applications. If it is not practical to 
submit separate applications, the agency will detennine in which 
category the application will be reviewed. The review of an 
application for a certificate of need will commence in the next 
revievs schedule after the application has been d etermined to be 
complete. The 10 categories of facilities and services are: 

( 1 ) Category A. Pro posals submitted by acute care 
hospitals, except those proposals included in 
Categories B through H and Category J, including but 
not limited to the following types of projects: 
renovation, construction, equipment, and acute care 
services. 

(2) Category B^ Proposals for nursing care beds; new 
continuing care facilities ap phin g for exemption 
under 10 NCAC 3R .6234; and relocations of nursing 
care beds under 10 NCAC 3R .6236. 



OJ 



(6) 
18J 



m 



(10) 



Category C. Proposals for new psychiatric facilities; 
psychiatric beds in existing health care facilities; new 
intermediate care facilities for the mentally retarded 
(ICF/MR) and ICF MR beds in existing health care 
facilities; new substance abuse and chemical 
dependency treatment facilities; substance abuse and 
chemical dependencN treatment beds in existing health 
care facilities. 

Category D. Proposals for new dialysis stations in 
response to the "counts need" or "facility need" 
methodologies; and relocations of existing dialysis 
stations to another county. 

Category E. Proposals for new or expanded inpatient 
rehabilitation facilities and inpatient rehabilitation 
beds in other health care facilities; and new or 
expanded ambulatory surgical facilities except those 
proposals included in Category H^ 
Category F. Proposals for new home health agencies 
or offices, new hospices, new hospice inpatient 
facility beds, and new hospice residential care facility 
beds. 

Category CL Proposals for conversion of hospital 
beds to nursing care under 10 NCAC 3R .6233. 
Category H. Proposals for bone marrow 
transplantation services, bum intensive care services, 
neonatal intensive care services, open heart surgery 
services, solid organ transplantation services, air 
ambulance equipment, heart-lung b\pass machines, 
gamma knives, lithotriptors. magnetic resonance 
imaging scanners, positron emission tomography 
scanners, major medical equipment as defined in G.S. 
13IE-I76(14f), diagnostic centers as defined in G.S. 
13 IE-I76(7a), and oncolog\ treatment centers as 
defined in G.S. 13 1 E-1 76(1 8a). 
Category F Proposals involving cost overruns; 
expansions of existing continuing care facilities which 
are licensed by the Department of" Insurance at the 
date the application is filed and are applying under 
exemptions from need detemiinations in K) NCAC 
3R .6222; relocations within the same county of 
existing health service facilities, beds or dialysis 
stations which do not involve an increase in the 
number ot' health service facility beds or stations; 
reallocation of beds or services; Category A proposals 
submitted by Academic Medical Center Teaching 
Hospitals designated prior to January J^ 1990; 
proposals submitted pursuant to K) NCAC 3R 
.6230(c) by Academic Medical Center Teaching 
Hospitals designated prior to January 1 . 1990; and any 
other proposal not included in Categories A through 
H and Category J. 

Category J^ Proposals for demonstration projects, 
cardiac angioplasty equipment, and cardiac 
catheterization equipment. 



History Note: Authority G.S. 1 3lE-r6(25i: 

l'7(l):131E-lS3(b): 

Temporal"^' Adoption Eff. January [^ 1999. 



131E- 



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January /5, 1999 



1128 



TEMP0R.4R Y RULES 



.6203 CERTIFICATE OF NEED REVIEW SCHEDULE 

The agency has established the following review schedules for certificate of need applications. 
(I ) Inpatient Rehabilitation Beds (in accordance with the need determination in 10 NCAC 3R .6208) 



Health Service Area (HSA) 



CON Beginning 
Review Date 



I 
II 
V 

VI 



August K 1999 
August K 1999 
September K 1999 
September 1. 1999 



(2) Ambulatory Surgical Facilities (in accordance with the need determination in 10 NCAC 3R .6209) 



Ambulator. Surgerv 
Service Area 


CON Beginning 
Review Date 


9 (Brunswick, Columbus, Duplin, New Hanover, Pender) 


September 1, 1999 



(3) Open Heart Surgerv Services (in accordance with the need determination in K) NCAC 3R .6210) 



Hospital 


CON Beginning 
Review Date 


Hospitals w ithout open heart surgerv services which acquired 


April 1, 1999 


heart-lung bvpass machines before March 18, 1993 



(4) Heart-Lung Bvpass Machines (in accordance with the need determination in 10 NCAC 3R .621 1 ) 



Hospital 
Service Svstem 


CON Beginning 
Review Date 


Cumberland Counn 


March 1, 1999 



(5) Fixed Cardiac Catheterization Equipment (in accordance with the need determination in 10 NCAC 3R .6212) 



Hospital 


CON Beginning 


Service Svstem 


Review Date 


Wake Countv 


May 1 , 1 999 


Mecklenburg County 


February 1. 1999 


Forsvth County 


February 1, 1999 


Moore County 


July 1, 1999 


New Hanover County 


Julvl, 1999 


Pitt County 


Julvl, 1999 


Catawba County 


October 1, 1999 


Buncombe Counh 


October 1 . 1 999 



i 



1129 



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13:14 



TEMPOR.4RY RULES 



Guilford Countv - Greensboro Area Only 


October 1 , 1 999 


Durham Countv 


November 1. 1999 


Orantze Count\ 


No% ember 1, 1999 



(6) Radiation Oncology Treatment Centers (in accordance uith the need determination in 10 NCAC 3R .6220) 



Radiation Oncolocv Treatment 
Center Service Area 


CON Beginning 
Re\ ieu Date 


6 (Cleveland, Gaston, Lincoln, Rutherford) 


April 1, 1999 
October 1, 1999 


7 (Anson, Mecklenburg, Untion) 



(7) Magnetic Resonance Imaging Scanners (in accordance with the need determination in 10 NCAC 3R .6221 ) 



Magnetic Resonance Imaging 


CON Beginning 


Scanners Service Area 


Review Date 


5 


(Alexander, Burke, Caldwell, Catawba, Lincoln) 


October 1, 1999 


7 


(Henderson, Polk, Transvlvania) 


April I, 1999 


\5 


(Davidson, Guildford, Randolph, Rockingham) 


October 1, 1999 


18 


(Cumberland, Hoke, Moore, Robeson, Sampson) 


September 1, 1999 


23 


(Beaufort, Bertie. H\de, Greene. Martin. Pitt, Washington) 


March 1. 1999 


2A 


(Edgecombe, Halifax. Nash. Northampton) 


September 1, 1999 



(8) Nursing Care Beds (in accordance with the need determination in 10 NCAC 3R .6222) 





CON Beginning 


Countv 


Review Date 


Ashe 


April 1, 1999 


Catawba 


April 1. 1999 


Henderson 


October 1, 1999 


McDowell 


December 1, 1999 


Caswell 


June 1, 1999 


Davie 


August 1, 1999 


Guilford 


June 1, 1999 


Randolph 


December 1, 1999 


Mecklenburg 


August 1, 1999 


Person 


March 1. 1999 


Wake 


September 1, 1999 


Columbus 


September 1, 1999 



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Januarv 15, 1999 



1130 



TEMPORAR Y R ULES 



Pender 


March 1. 1999 


Sampson 


March 1, 1999 


Carteret 


September 1, 1999 


Perquimans 


March 1, 1999 



(9) Chemical Dependenc\ (Substance Abuse) Beds (in accordance with the need determination in 10 NCAC 3R .6228) 
(a) Adult Treatment Beds 



Mental Health 
Planning Region 


CON Beginning 
Review Date 


Eastern Region 


December 1. 1999 



tbj Adult Detox-Only Beds 



Mental Health Planning Areas 



1 (Cherokee, Cla\. Graham, Hayuood, Jackson. Macon. Swain) 

4 (Henderson. Trans\ Ivania) 

5 (Alexander. Burke. Caldwell. McDowell) 

6 (Rutherford. Polk) 

11 (Rowan. Stanly. Cabarrus. Union) 

14 (Rockingham) 

16 (Alamance. Caswell) 

17 (Orange. Person. Chatham) 

19 (Vance. Granville. Franklin. Warren) 

20 (Davidson) 

22 (Bladen. Columbus. Robeson. Scotland) 

25 (Johnston) 

26 (Wake) 

30 (Wayne) 

31 (Wilson. Greene) 

32 (Edgecombe. Nash) 

33 (Halifax) 

34 (Carteret. Craven. Jones. Pamlico) 

35 (Lenoir) 

37 (Bertie. Gates. Hertford. Northampton) 

38 (Beaufort. Hyde. Martin. Tyrrell. Washington) 



CON Beginning 
Review Date 



May 1. 1999 
May 1. 1999 
May 1. 1999 


May 1. 1999 


May 1. 1999 


May 1. 1999 


May 1. 1999 


May 1. 1999 


May 1, 1999 
Ma\ 1. 1999 
May 1 . 1 999 
May 1. 1999 
May 1. 1999 
May 1, 1999 
May 1, 1999 


May 1. 1999 


May 1, 1999 


May 1. 1999 


May 1. 1999 


May 1. 1999 


May 1. 1999 



1131 



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39 
40 


(Camden, Chowan, Currituck, Dare, Pasquotank. Perquimans) 


Mav 1. 1999 
May 1, 1999 


(Duplin. Sampson) 



( 10) Intermediate Care Facility Beds for Mentally Retarded (in accordance with need determinations in 10 NCAC 3R .6229) 



Mental Health Planning Area 


CON Beeinnine 
Review Date 


8 (Gaston, Lincoln) 
29 (Onslow) 


May 1, 1999 
Mav 1, 1999 



(11) Applications for certificates of need will be reviewed pursuant to the follow ina review schedule, unless another schedule 
has been specified in Items ( 1 ) through (9) of this Rule. 



CON Beainnine 


HSA 


HSA 


Review Date 


LlLUl 


IV, V, VI 


Januan 1 


" 


" 


February 1 


A.E,G,LJ 


G 


March 1 


— 


A,B,E,tLI 


April 1 


B^EiLl 


~ 


May 1 


C 


C.ELJ 


June 1 


A,B,D,I 


D 


JuK 1 


— 


A^Li 


August 1 


B,E,I 


— 


September 1 


— 


B^E^Jil 


October 1 


A,B,EF1LJ 


H (Oncology Center / Linear Accelerator Only) 


November 1 


— 


A^ELJ 


December 1 


B,C,D,1 


Cfxi 



Hisloo'Nole: Authority G.S. 1 31 E-l~6(25): l31E-r7(I); I31E-1 83(b): 
Temporai-y Adoption Eff. January [^ 1999. 

.6204 MULTI-COUNTY GROUPINGS 

(a) Health Service Areas. The agency has assigned the counties of the state to the following health service areas for the purpose 
of scheduling applications for certificates of need: 

HEALTH SERVICE AREAS (HSA) 



13:14 



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Januarv 15, 1999 



1132 



TEMP0R.4R Y R ULES 



I 


II 


III 


IV 


V 


VI 


County 


County 


County 


County 


County 


Countv 


Alexander 


Alamance 


Cabarrus 


Chatham 


Anson 


Beaufort 


Alleghany 


Caswell 


Gaston 


Durham 


Bladen 


Bertie 


Ashe 


Davidson 


Iredell 


Franklin 


Brunswick 


Camden 


Avery 


Davie 


Lincoln 


Granville 


Columbus 


Carteret 


Buncombe 


Forsvth 


Mecklenburg 


Johnston 


Cumberland 


Chowan 


Burke 


Guilford 


Rowan 


Lee 


Harnett 


Craven 


Caldwell 


Randolph 


Stanly 


Oranae 


Hoke 


Currituck 


Catawba 


Rockingham 


Union 


Person 


Montgomery 


Dare 


Cherokee 


Stokes 




Vance 


Moore 


Duplin 


Clav 


Surry 




Wake 


New Hanover 


Edgecombe 


Cleveland 


Yadkin 




Warren 


Pender 


Gates 


Graham 








Richmond 


Greene 


Ha\"wood 








Robeson 


Halifax 


Henderson 








Sampson 


Hertford 


Jackson 








Scotland 


Hyde 


McDowell 










Jones 


Macon 










Lenoir 


Madison 










Martin 


Mitchell 










Nash 


Polk 










Northampton 


Rutherford 










Onslow 


Swain 










Pamlico 


Transylvania 










Pasquotank 


Watauea 










Perquimans 


Wilkes 










Pitt 


Yancey 










Tyrrell 
Washington 
Wayne 
Wilson 



(b) Mental Health Planning Areas. The agency has assigned the counties of the state to the following Mental Health Planning 
Areas for purposes of the State Medical Facilities Plan: 

MENTAL HEALTH PLANNING AREAS 



Area Number 


Constituent Counties 


1 


Cherokee. Clav. Graham, Haywood, Jackson, Macon, Swain 


Buncombe. Madison. Mitchell, Yancev 


4 


Alleghan\, Ashe, Aver\. Watauga, Wilkes 


Henderson. Transslvania 


5 


Alexander. Burke, Caldwell. McDowell 


6 


Rutherford. Polk 


7 


Cleveland 


8 


Gaston, Lincoln 


9 


Catawba 


10 


Mecklenburg 


ii 


Cabarrus, Rowan, Stanly, Union 


11 


Surry, Yadkin. Iredell 


n 


Forsvlh. Stokes. Davie 


14 


Rockingham 


15 


Guilford 



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16 


Alamance, Caswell 


11 


Orange, Person, Chatham 


18 


Durham 


19 


Vance, Granville, Franklin, Warren 


20 


Davidson 


21 


Anson, Hoke, Monteomerv, Moore. Richmond 


22 


Bladen, Columbus, Robeson, Scotland 


23 


Cumberland 


24 


Lee, Harnett 


25 


Johnston 


26 


Wake 


27 


Randolph 


28 


Brunswick, New Hanover, Pender 


29 


Onslow 


30 


Wavne 


31 


Wilson, Greene 


32 


Edgecombe, Nash 


33 


Halifax 


34 


Carteret, Craven, Jones, Pamlico 


35 


Lenoir 


36 


Pitt 


37 


Bertie. Gates, Hertford, Northampton 


38 
39 
40 


Beaufort, Hvde, Martin. Tvrrell. Washington 


Camden. Chowan. Currituck. Dare. Pasquotank. Perquimans 


Dublin. Sampson 



(c) Mental Health Planning Regions. The agency has assigned the counties of the state to the following Mental Health Planning 
Regions for purposes of the State Medical Facilities Plan: 

MENTAL HEALTH PLANNING REGIONS (Area Number and Constituent Counties) 



Western (W) 


1 

2 

3 


Cherokee. Clay. Graham, Haywood, Jackson, Macon, 


Swain 


Buncombe. Madison. Mitchell, Yancey 




Alleghany, Ashe, Aver\, Watauga, Wilkes 


4 


Henderson, Transylvania 




5 
6 


Alexander, Burke, Caldwell, McDowell 




Rutherford, Polk 


7 


Cleveland 




8 


Gaston, Lincoln 




9 


Catawba 




iQ 


Mecklenburg 




ii 


Cabarrus, Rowan, Stanly, Union 




North Central (NO 


12 


Surrv, Yadkin, Iredell 




13 


Forsvlh, Stokes, Davie 




Ii 


Rockingham 




15 


Guilford 




16 


Alamance. Caswell 




17 


Orange. Person, Chatham 




18 


Durham 




19 


Vance, Granville, Franklin. Warren 





13:14 



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January 15. 1999 



11 34 



TEMPORARY RULES 



South Central (SO 



20 Davidson 

21 Anson. Hoke. Montgomen., Moore. Richmond 

22 Bladen. Columbus. Robeson. Scotland 

23 Cumberland 

24 Lee. Harnett 

25 Johnston 

26 Wake 

27 Randolph 



Eastern (E) 



28 
29 
30 

31 
32 
33 
34 
35 
36 
37 
38 
39 
40 



Brunswick. New Hanover. Pender 

Onslow 

Wayne 

Wilson, Greene 

Edgecombe. Nash 

Halifax 

Carteret. Craven. Jones. Pamlico 

Lenoir 

Pitt 

Bertie. Gates. Hertford. Northampton 

Beaufort. Hyde. Martin. Tyrrell. Washington 

Camden. Chowan. Currituck. Dare. Pasquotank. Perquimans 

Duplin. Sampson 



(d) Radiation Oncology Treatment Center Planning Areas. The agency has assigned the counties of the state to the following 
Radiation Oncology Treatment Center Planning Areas for purposes of the State Medical Facilities Plan: 

RADIATION ONCOLOGY TREATMENT CENTER PLANNING AREAS 



Area Number Constituent Counties 



2 
3 
4 
5 
6 
7 
8 
9 
iO 
ii 

12 
Ji 
14 
\5 
16 
U 

18 
19 
20 

21 



Cherokee. Cla\, Graham. Jackson. Macon. Svvain 

Buncombe. Havwood. Madison. McDowell. Mitchell. Yance\ 

Alleghany. Ashe. Averv. Watauga 

Henderson. Polk. Transylvania 

Alexander. Burke. Caldwell. Catawba 

Rutherford. Cleveland. Gaston. Lincoln 

Mecklenburg. Anson. Union 

Iredell. Rowan 

Cabarrus. Stanly 

ForsNih. Davidson. Davie. Stokes. Surry. Wilkes. Yadkin 

Guilford. Randolph. Rockingham 

Alamance. Chatham. Orange 

Durham. Caswell. Granville. Person. Vance. Warren 

Moore. Hoke. Lee. Montgomery. Richmond 

Cumberland. Bladen. Sampson 

Robeson. Scotland 

Wake. Franklin. Harnett. Johnston 

New Hanover. Brunswick. Columbus. Pender 

Wayne 

Nash. Halifax. Wilson 

Craven. Carteret. Onslow. Jones. Pamlico 

Lenoi r. Duplin 



1135 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



TEMPOFLAR Y R ULES 



23 Pitt, Beaufort. Bertie. Edgecombe, Greene, Hertford. Hyde, Martin. Northampton. 
Washington 

24 Pasquotank. Camden. Chowan. Currituci<, Dare. Gates. Perquimans. Tyrrell 



(e) Ambulatory Surgical Facility Planning Areas. The agency has assigned the counties of the state to the following Ambulatory- 
Surgical Facility Planning Areas for purposes of the State Medical Facilities Plan: 

AMBULATORY SURGICAL FACILITY PLANNING AREAS 



Area Constituent Counties 



1 Alamance 

2 Alexander. Iredell 

3 Alleghany, Surry, Wilkes 

4 Anson, Gaston, Mecklenburg, Union 

5 Ashe, Avery, Watauga 

6 Beaufort, Hyde 

7 Bertie, Gates. Hertford 

8 Bladen. Cumberland, Robeson, Sampson 

5 Brunswick, Columbus, Duplin, New Hanover, Pender 

10 Buncombe, Ha\'yvood, Madison, Mitchell, Yancey 
li Burke, McDowell. Rutherford 

12 Cabarrus. Rowan. Stanly 

11 Caldwell. Catawba. Lincoln 

14 Camden. Currituck. Dare. Pasquotank. Perquimans 

15 Carteret. Craven. Jones. Onslow. Pamlico 

16 Caswell. Chatham. Orange 

1? Cherokee. Clav. Graham. Jackson. Macon, Swain 

18 Chowan. Tyrrell. Washington 

19 Cleveland 

20 Davidson. Davie. Forsvlh. Stokes. Yadkin 

21 Durham. Granville. Person 

22 Edgecombe. Halifax. Nash. Northampton 

23 Franklin. Harnett. Johnston, Wake 

24 Greene, Lenoir, Martin, Pitt 

25 Guilford, Randolph, Rockingham 

26 Henderson, Polk, Transylvania 

27 Hoke, Lee, Montgomery, Moore, Richmond, Scotland 

28 Vance, Warren 

29 Wavne 

30 Wilson 



(0 Magnetic Resonance Imaging (MRI) Planning Areas. The agencN has assigned the counties of the state to the following 
Magnetic Resonance Imaging Planning Areas for purposes of the State Medical Facilities Plan: 

MAGNETIC RESONANCE IMAGING PLANNING AREAS 



Area Number Constituent Counties 



1 Cherokee. Clav. Graham. Jackson. Macon. Swain 

2 Haywood 

3 Buncombe. Madison. McDowell. Mitchell. Yance\ 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1136 



TEMPORARY RULES 



4 Ashe, Avery. Watauga 

5 Alexander. Burke. Caldwell. Catawba. Lincoln 

6 Cleveland. Rutherford 

7 Henderson. Polk. Transylvania 

8 Gaston 

9 Cabarrus, Montgomery, Rowan, Stanly 

10 Iredell 

1 1 Alleghany. Davie. Forsyth. Stokes. Surr\, Wilkes, Yadkin 

12 Alamance 

13 Durham, Caswell, Granville, Person. Vance, Warren 

14 Chatham, Orange 

15 Davidson, Guilford, Randolph, Rockingham 

16 Richmond, Scotland 

17 Anson, Mecklenburg, Union 

18 Cumberland. Hoke. Moore. Robeson. Sampson 

19 Franklin. Harnett. Johnston. Lee. Wake 

20 Lenoir. Wavne. Wilson 

21 Bladen. Brunswick. Columbus. Duplin. New Hanover. Pender 

22 Carteret. Craven. Jones. Onslow. Pamlico 

23 Beaufort. Bertie. Greene. Hyde. Martin. Pitt, Washington 

24 Edgecombe. Halifax. Nash, Northampton 

25 Camden, Chowan, Currituck, Dare. Gates, Hertford, Pasquotank, Perquimans- 
Tyrrell 



HistoiyNote: Authorit}- G.S. 131 E-r6(25): I3IE-I"!/): I3IE-I83(ll: 
Temporary Adoption Eff. Jamian' A 1999. 

.6205 SERVICE AREAS AND PLANNING AREAS 

(a) An acute care bed's service area is the acute care bed planning area in which the bed is located. The acute care bed planning 
areas are the hospital service systems which are defined as follows: 

(1 ) a group of hospitals located in the same city, or withinlO miles of each other, or in the same county if one or more hospitals 
in the county are under common ownership; or 

(2) a single hospital that is not included in one of the groups of hospitals described in Subparagraph (1) of this Paragraph. 

(b) A rehabilitation bed's service area is the rehabilitation bed planning area in which the bed is located. The rehabilitation bed 
planning areas are the health service areas which are defined in 10 NCAC 3R .6204(a). 

(c) An ambulatory' surgical facility's service area is the ambulatory surgical facility planning area in which the facility is located. 
The ambulator\ surgical facility planning areas are the multi-county groupings as defined in 10 NCAC 3R .6204(e). 

(d) A radiation oncology treatment center's and linear accelerator's service area is the radiation oncology treatment center and linear 
accelerator planning area in vyhich the facility is located. The radiation oncology treatment center and linear accelarator planning areas 
are the multi-county groupings as defined in 10 NCAC 3R .6204(d). 

(e) A magnetic resonance imaging scanner's service area is the magnetic resonance imaging planning area in which the scanner 
is located. The magnetic resonance imaging planning areas are the multi-count\ groupings as defined in 10 NCAC 3R .6204(0. 

(f) A nursing care bed's service area is the nursing care bed planning area in which the bed is located. Each of the 100 counties 
in the State is a separate nursing care bed planning area. 

(g) A home health agency office's service area is the home health agency office planning area in which the office is located. Each 
of the 100 counties in the State is a separate home health agencv office planning area. 

(h) A dialysis station's service area is the dialysis station planning area in which the dialysis station is located. Each of the 100 
counties in the State is a separate dialysis station planning area. 

(D A hospice's service area is the hospice planning area in which the hospice is located. Each of the 10_0 counties \n the State is 
a separate hospice planning area. 

(jj A hospice inpatient facility bed's service area is the hospice inpatient facility bed planning area in which the bed is !<i c:ited. Each 
of the 100 counties in the State is a separate hospice inpatient facility bed planning area. 

(k) A psychiatric bed's service area is the psychiatric bed planning area in which the bed is located. The psychiatric bed planning 
areas are the Mental Health Planning Regions which are defined in 10 NCAC 3R .6204(c). 

(i) With the exception of chemical dependency (substance abuse) detoxification-only beds, a chemical dependency treatment bed's 
service area is the chemical dependency treatment bed planning area in which the bed is located. The chemical dependency (substance 



1137 



NORTH CAROLINA REGISTER 



January IS, 1999 



13:14 



TEMPOR.4RY RULES 



abuse) treatment bed planning areas are the Mental Health Plannina Regions which are defined in 10 NCAC 3R .6204(c). 

(m) A chemical dependency detoxification-only bed's service area is the chemical dependenc\ deto.\ification-onl\ bed planning 
area in which the bed is located. Tlie chemical dependency (substance abuse) detoxification-only bed planning areas are the Mental 
Health Planning Areas which are defined in 10 NCAC 3R .6204(b). 

(n) An intermediate care bed for the mentally retarded's service area is the intermediate care bed for the mentalK retarded planning 
area in which the bed is located. The intermediate care bed for the mentally retarded planning areas are the Mental Health Planning 
Areas which are defined in 10 NCAC 3R .6204(b). 

History Note: Aulhnrity G.S. !3IE-r6(25): 121E-l'"'(ll: I31E-I83(I): 
Temporary Adoption Eff. Jamiarv l^ 1999. 

.6206 REALLOCATIONS AND ADJUSTMENTS 

taj REALLOCATIONS. 

( 1 ) Reallocations shall be made only to the extent that need determinations in 1 NCAC 3R .6207 through .6229 indicate that 
need exists after the inventories are revised and the need determinations are recalculated. 

(2) Beds or services uhich are reallocated once in accordance with this Rule shall not be reallocated again. Rather, the Medical 
Facilities Planning Section shall make any necessary changes in the next annual State Medical Facilities Plan. 

(3) DiaKsis stations that are withdrawn, relinquished, not applied for, decertified, denied, appealed, or pending the expiration 
of the 30 day appeal period shall not be reallocated. Instead, any necessary redetermination of need shall be made in the 
next scheduled publication of the Semiannual Dialysis Report. 

(4) Appeals of Certificate of Need Decisions on Applications. Need determinations of beds or seryices for \yhich the CON 
Section decision has been appealed shall not be reallocated until the appeal is resolved. 

(A) Appeals Resolved Prior to August 17: If an appeal is resolved jn the calendar year prior to August 17. the beds or 
services shall not be reallocated b\ the CON Section; rather the Medical Facilities Planning Section shall make the 
necessary changes in tlie next annual State Medical Facilities Plan, except for diahsis stations which shall be 
processed pursuant to Subparagraph (a)(3) ot" tliis Rule. 

(B) Appeals Resolved on or After August 17: If tlie appeal is resoKed on or after August 17 in tlie calendar \ear. the 
beds or services, except for dialysis stations, shall be made available for a review period to be determined by the 
CON Section, but beginning no earlier than 60 days from the date that the appeal is resolved. Notice shall be mailed 
bi thie Certificate of Need Section to aii persons on thie mailing list for tfie State Medical Facilities Plan, no less than 
45 days prior to the due date for receipt of neyv applications. 

(5) Withdrawals and Relinquishments. Except for dialysis stations, a need determination for which a certificate of need is 
issued, but is subsequently \yithdrawn or relinquished, is available for a review period to be determined by the Certificate 
of Need Section, but beginning no earlier than 60 days from: 

(A) the last date on which an appeal of tfie notice of intent to withdraw the certificate could be filed if no appeal is filed. 

(B) the date on which an appeal of the withdrawal is finally resoKed against the holder, or 

(C) the date that the Certificate of Need Section receives from the holder of the certificate of need notice that the 
certificate has been voluntarily relinquished. 

Notice of the scheduled revieyv period for the reallocated services or beds shall be mailed by the Certificate of Need Section 
to all persons on the mailing list for the State Medical Facilities Plan, no less than 45 days prior to the due date for submittal 
of the neyv applications. 

(6) Need Determinations for yvhich No Applications are Received. 

(A) Services or Beds yvith Scheduled Revieyy in the Calendar Year on or Before September 1 : The Certificate of Need 
Section shall not reallocate the services or beds in this category for yyhich no applications yvere received, because 
the Medical Facilities Planning Section will have sufficient time to make any necessan. changes in the determinations 
of need for these services or beds in the next annual State Medical Facilities Plan, except for dialysis stations. 

(B) Services or Beds with Scheduled Review in the Calendar Year After September 1 : Except for diah sis stations, a 
need determination in tjiis category for yyhich no application has been received bv the jast due date for submittal of 
applications shall be available to be applied for in the second Category I rey ieyy period Iq the next calendar \ear for 
the applicable HSA. Notice of tfie scheduled revieyv period for the reallocated beds or services shall be mailed bv 
the Certificate of Need Section to all persons on the mailing list for the State Medical Facilities Plan, no less than 
45 days prior to tlie due dale for submittal of new applications. 

(7) Need Determinations not Awarded because Application Disapproved. 

(A) Disapproval rn thie Calendar Year prior to August 17: Need determinations or portions of such need for yyhich 
applications were submitted but disapproved by the Certificate of Need Section before August 17. shall not be 
reallocated by tfie Certificate of Need Section. Instead the Medical Facilities Planning Section shall make the 
necessary changes in thie next annual State Medical Facilities Plan if no appeal is filed, except for dialysis stations. 

(B) Disapproval in the Calendar Year on or After August 1 7: Need determinations or portions of such need for which 



13:14 NORTH CAROLINA REGISTER January 15, 1999 1138 



TEMP0IL4RY RULES 



applications were submitted but disapproved by the Certificate of Need Section on or after August 17. sliali be 

reallocated by the Certificate of Need Section, except for dialysis stations. A need in this category shall be available 

for a review period to be determined b\ the Certificate of Need Section but beginning no earlier than 95 days from 

the date the application was disapproved, if no appeal [s filed. Notice of the scheduled review period for the 

reallocation shall be mailed by the Certificate of Need Section to all persons on the mailing list for the State Medical 

Facilities Plan, no less than 80 days prior to the due date for submittal of the new applications. 

(8) Reallocation of Decertified ICF/MR Beds. If an ICF/MR facility's Medicaid certification is relinquished or revoked, the 

ICF/MR beds [n the facility shall be reallocated by the Department of Health and Human Services. Division of Facility 

Services. Medical Facilities Planning Section pursuant to the provisions of the following sub-parts. The reallocated beds 

shall only be used to convert five-bed ICF/MR facilities into six-bed facilities. 

(A) If the number of five-bed ICF/MR facilities in the mental health planning region in which the beds are located equals 
or exceeds the number of reallocated beds, the beds shall be reallocated soleK within the planning region after 
considering the recommendation of the Regional Team of Developmental Disabilities Services Directors. 

(B) If the number of five-bed ICF/MR facilities in the mental health planning region in which the beds are located is less 
than the number of reallocated beds, the Medical Facilities Planning Section shall reallocate the excess beds to other 
planning regions after considering the recommendation of the Developmental Disabilities Section in the Division 
of Mental Health. Developmental Disabilities, and Substance Abuse Services. The Medical Facilities Planning 
Section shall then allocate the beds among the planning areas within those planning regions after considering the 
recommendation of the appropriate Regional Teams of Developmental Disabilities Services Directors. 

(C) The Department of Health and Human Services. Division of Facility Services. Certificate of Need Section shall 
schedule reviews of applications for these beds pursuant to Subparagraph (a)(5) of this Rule. 

(bj CHANGES FN N EED DETERMINATIONS. 

(1) The need determinations in 10 NCAC 3R .6207 through .6229 shall be revised continuously throughout the calendar year 
to re flect all changes in tfie inventories of: 

(A) the health services listed at G.S. 1 3 1 E- 1 76( 1 6)f; 

(B) health service facilities; 

(C) health service facility beds; 

(D) dialysis stations; 

(E) the equipment listed at G.S. 1 3 1 E- 1 76( 1 6)f I ; and 

(F) mobile medical equipment; 

as those changes are reported to the Medical Facilities Planning Section. However, need determinations in 10 NCAC 3R 
.6207 through .6229 shall not be reduced if the relevant inventory is adjusted upward 30 days or less prior to die first day 
of the applicable review period. 

(2) Inventories shall be updated to reflect: 

(A) decertification of home health agencies or offices, intermediate care facilities for the mentally retarded, and dialysis 
stations; 

(B) delicensure of health service facilities and health s ervice facility beds; 

(C) demolition, destruction, or decommissioning of equipment as listed at G.S. I3IE-I76( I6)fl and s; 

(D) elimination or reduction of a health service as listed at G.S. I3IE-I76( I6)f; 

(E) psychiatric beds licensed pursuant to G.S. 13IE-I84(c); 

(F) certificates of need awarded, relinquished, or withdrawn, subsequent to the preparation of the inventories in the State 
Medical Facilities Plan; and 

(G) corrections of errors in tlie inventors as reported to thie Medical Facilities Planning Section. 

(3) Any person who is interested in applying for a new institutional health service for which a need determination is made in 
10 NCAC 3R .6207 through .6229 ma\ obtain information about updated inventories and need determinations from the 
Medical Facilities Planning Section. 

(4) Need determinations resulting from changes in inventory shall be available for a review period to be determined b\ the 
Certificate of Need Section, but beginning no earlier than 60 da\s from the date of the action identified in Paragraph (b) 
of this Rule, except for dialysis stations which shall be determined b\ the Medical Facilities Planning Section and published 
in the next Semiannual Dialvsis Report. Notice of the scheduled review period for the need determination shall be mailed 
by the Certificate of Need Section to ah persons on thie mailing Hst for thie State Medical Facilitie s Plan . no less thari 45 
days prior to the due date for submittal of the new applications. 

History- Note: Aulhoht}- G.S. 131 £-176(25): 131E-1"(1): 131E-183(h): 
Temporan- Adoption Eff'. January 1, 1999. 

.6207 ACUTE CARE BED NEED DETERMINATION (REVIEW CATEGORY A) 

It is determined that there is no need for additional acute care beds. 



1139 NORTH CAROLINA REGISTER Januan' 15, 1999 13:14 



TEMPOHARY RULES 



History Note: Authority G.S. 1 31 £-176(25): 13IE-1 ^7(1): 1 31 E-1 83(h): 
Temporary Adoption Eff. January- JU 1999. 

.6208 REHABILITATION BED NEED DETERMINATION (REVIEW CATEGORY E) 

h js determined that there is a need for twenty-two additional rehabilitation beds in thie HSA's as specified in thus Rule. It is 
determined that there is no need for additional rehabilitation beds in any other HSA. 



HSA 


Rehabilitation Beds Needed 


i 


1 
]1 


y 


7 


yi 


-> 



Histoiy Note: Authority G.S. 131 E-1 76(25): 131 £-17-^(1): 131E-183(b): 
Temporary' Adoption Eff. January J^ 1999. 



.6209 AMBULATORY SURGICAL FACILITIES NEED DETERMINATION (REVIEW CATEGORY E) 

It is determined that there is a need for one additional Ambulatory Surgical Facilit> in the Ambulaton, Surgical Planning Area listed 
in this Rule. It is determined that there is no need for additional Ambulatory Surgical Facilities in any other ambulatory surgical 
facility planning area. 



Ambulatory Surgical Facility Planning Area 


Ambulaton.' Surgical 
Facilities Needed 


9 - Brunswick, Columbus, Duplin, New Hanoyer, 1 
and Pender Counties 



History' Note: Authority G.S. 131E-r6(25): 131 E-1 77(1): 131E-lH3(b): 
Temporary Adoption Eff January J^ 1999. 

.6210 OPEN HEART SURGERY SERVICES NEED DETERMINATIONS (REVIEW CATEGORY H) 

It is determined that there is a need for additional open heart surger\ services from any hospital which acquired a heart-lung bypass 
machine prior to March 18, 1993 and \yhich, nevertheless, is unable to use such machine in thie provision of open heart surgep, 
services because the hospital does not have a certificate of need authorizing it to provide open heart surgery services. It is further 
determined that the citizens served by, and residing in the general service areas of such hospitals have a need for such additional open 
heart surger> services. These needs e.xist despite the capacity to provide open heart surgery services of any other hospital or hospitals 
in the State. It is determined that there is no other need for additional open heart surgery services. 

Histoiy Note: Authority' G.S. 13!E-r6(25): 131E-177(1): l31E-IH3(b): 
Temporary Adoption Eff January 1. 1999. 

.6211 HEART-LUNG BYPASS MACHINES NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is a need in Cumberland County for one additional heart-lung bypass machine, ft is determined that there 
is no need for an additional heart-lung bypass machine in an\ other County. 

Histoiy Note: Authority- G.S. 131E-r6(25): 131E-177(1): 131E-lH3(h): 
Temporary Adoption Eff January ]_^ 1999. 

.6212 FIXEDCARDIAC CATHETERIZATION EQUIPMENT AND FIXEDCARDIAC ANGIOPLASTY EQUIPMENT 
NEED DETERMINATION (REVIEW CATEGORY J) 

It is determined that there is a need for fourteen additional fixed units of cardiac catheterization or cardiac angioplasty equipment 
in tlie counties listed in thus Rule, h is detennined that there is no need for additional fixed units ot' cardiac catheterization or cardiac 
angioplasty equipment in any other county. 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1140 



TEMPORA RY RULES 









Fixed U 


nits of Cardiac 


Catheterization or Cardiac 


Countv 








Angioplasty Equipment Needed 


Wake 










2 


Mecklenburg 










2 


Forsyth 










2 


Moore 










1 


New Hanover 










1 


Pitt 










1 


Catawba 










1 


Buncombe 










1 


Guilford - (Greensboro 


area 


onlv) 






1 


Durham 










1 


Orange 










i 



Histoiy Note: Authority G.S. 131 £-176(25): ISIE-H^d): 1 31 E-1 83(b): 
TemporatT Adoption Eff. Januan' L. 1999. 

.6213 MOBILE CARDIAC CATHETERIZATION EQUIPMENT AND MOBILE CARDIAC ANGIOPLASTY 
EQUIPMENT NEED DETERMINATION (REVIEW CATEGORY J) 

It is determined that there is no need for any additional mobile cardiac catheterization equipment or any additional mobile cardiac 
angioplasty equipment. 

History Note: Authority G.S. 131E-n6(25): 131E-177(1): 131 E-1 83(1): 
Temporaiy Adoption Eff. Januaiy L. 1999. 

.6214 BURN INTENSIVE CARE SERVICES NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is no need for additional bum intensive care services. 

Histoiy Note: Authority G.S. 13!E-176(25): 131E-177(1): 131 E-1 83(b): 
Temporarx Adoption Eft. Januan' J_^ 1999. 

.6215 POSITRON EMISSION TOMOGRAPHY SCANNERS NEED DETERMINATION (REVIEW CATEGORY H) 

h is determined that there is no need for additional positron emission tomograph\ scanners for purposes other than research. 

Histoiy Note: Authority G.S 131E-r6(25): 131E-}''(1): 1 31 E-1 83(b): 
Temporary .Adoption Eff Januan' L. 1999. 

.6216 BONE MARROW TRANSPLANTATION SERVICES NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is no need for additional allogeneic or autologous bone marrow transplantation services. 

Histoiy Note: Authority G.S 131E-n6(25): 131 £-177(1): 1 31 E-1 83(b): 
Temporary .Adoption Eff. Januan' f^ 1999. 

.6217 SOLID ORGAN TRANSPLANTATION SERVICES NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is no need for new solid organ transplant services. 

History Note: .Authoriy G.S 1 31E-r6(25): UlE-T^d): 131E-183(b): 
Temporun' .Adoption Eff Januan' ]_^ 1999. 

.6218 GAMMA KNIFE NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is no need for an additional gamma knife. 

Histoiy Note: Authorit}' G.S 131 E-1 "6(25): 131E-ril): 131 E-1 83(b): 
Temporary .Adoption Eff Januan' l^ 1999. 

.6219 LITHOTRIPTER NEED DETERMINATION (REVIEW CATEGORY H) 



1141 



NORTH CAROLINA REGISTER 



Januan 15, 1999 



13:14 



TEMPOR.4RY RULES 



It is determined that there is no need for additional lithotripters. 

Histoiy Note: Authority G.S. 131E-r6t25): BIE-H'^d): 1 31 E-1 83(h): 
Temporan- Adoption Eff'. Jatiuan ]_, 1999. 

.6220 RADIATION ONCOLOGY TREATMENT CENTERS NEED DETERMINATION (REVIEW CATEGORY H) 

It is determined that there is a need for one additional Radiation Oncology Treatment Center in each of the follovs ing Radiation 
OncoloKV Treatment Center Service Areas, h is determined that there is no need for an additional Radiation Oncology Treatment 
Center in any other service area in the State. 



Radiation Oncology Treatment Center Service Areas 
(Constituent Counties) 


Radiation Oncology Treatment Center (Linear 
Accelerator) Need Determination 


6 (Cleveland, Gaston, Lincoln & Rutherford) 

7 (Anson, Mecklenburg & Union 


i 

i 



History Note: Authority G.S. 131E-r6(25): UlE-l^d I: 131 E- 183(b): 
Teniporary Adoption Eff. January J_^ 1999. 

.6221 MAGNETIC RESONANCE IMAGING SCANNERS NEED DETERMINATION (REVIEW CATEGORY H) 

it is determined that there is a need for seven additional fixed Magnetic Resonance Imaging ( MRl) scanners in the following MR] 
Scanners Service Areas, h js determined that there js no need for an additional fixed MRl scanner in any other service area m the 
State. 



MR] Scanners Service Areas 
(Constituent Counties) 


MRl Scanners 

Need Determination 


5 (Alexander, Burke, Caldwell, Catawba & Lincoln) 


1 
1 
1 
2 
i 
1 


7 (Henderson, Polk & Transylvania) 

15 (Davidson, Guildford, Randolph & Rockingham) 

18 (Cumberland, Hoke, Moore, Robeson & Sampson) 

23 (Beaufort, Bertie, Hvde, Greene, Martin. Pitt & Washington) 


24 (Edgecombe, Halifax, Nash & Northampton 



Histoiy Note: Authority G.S. 131E-176(25): 131E-177(1>: 131E-183(b): 
Temporary' Adoption Eff. January ]_^ 1999. 

.6222 NURSING CARE BED NEED DETERMINATION (REVIEW CATEGORY B) 

It is determined that the counties listed in this Rule need additional Nursing Care Beds as specified. It is determined that there is 
no need for additional Nursing Care Beds rn any other counties. 





N 


jmber of Nursing Care 


County 




Beds Needed 


Ashe 




30 


Catawba 




90 


Henderson 




90 


McDowell 




40 


Caswell 




30 


Davie 




30 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1142 



TEMPORARY RULES 



Guilford 


90 


Randolph 


90 


Mecklenburg 


90 


Person 


30 


Wake 


150 


Columbus 


30 


Pender 


40 


Sampson 


40 


Carteret 


J4 


Perquimans 


20 



History Note: Aiilhorit}- G.S. l31E-n6(25): 13IE-r7(l); I3IE- 183(h): 
Temporary Adoption Eff' Jcmuan- ]_, 1999. 

.6223 HOME HEALTH AGENCY OFFICE NEED DETERMINATION (REVIEW CATEGORY F) 

It is determined that there is no need for additional Medicare-certified home health agencies or offices. 

HistoiyNote: Authority G.S. 131E-r6(25): 13 IE- 177(1): 13 IE-] 83(h): 
Temporary Adoption Eff. January _/^ 7999. 

.6224 DIALYSIS STATION NEED DETERMINATION 

(a) The Medical Facilities Planning Section (MFPS) shall determine need for new dialysis stations two times each calendar year, 
and shall make a report of such determinations available to aU who request it. This report shall be called the North Carolina 
Semiannual Dialysis Report (SDR). Data to be used for such determinations, and their sources, are as follows: 

( 1) Numbers of dialysis patients, by type, county and facility, from the Southeastern Kidney Council. Inc. (SEKC) and the Mid- 
Atlantic Renal Coalition, Inc. as of Decembers). 1998 for the March SDR and as of June 30. 1999 for the September SDR. 

(2) Certificate of need decisions, decisions appealed, appeals sett)ed, and awards, from the Certificate of Need Section, DPS. 

(3) Facilities certified for participation in Medicare, from the Certification Section, DPS. 

(4) Need determinations for which certificate of need decisions have not been made, from MPPS records. 

Need determinations in this report shall be an integral p art of the State Medical Facilities Plan, as provided in G.S. 13)E-)83. 

(b) Need for new dialysis stations shall be determined as follows: 
( I) County Need 



t2J 



ID 

m 



The average annual rate (°o) of change in total number of dialysis patients resident in each county from the end of 

1994 to the end of 1998 is multiplied by the county's 1998 year end total number of patients in the SDR, and the 

product is added to each county's most recent total number of patients reported in the SDR. The sum is the county's 

projected total )999 patients. 

The percent of each county's total patients who were home dialysis patients at the end of 1998 is multiplied by the 

county's projected total 1999 patients, and the product is subtracted from the county's projected total 1999 patients. 

The remainder is the county's projected )999 in-center dialysis patients. 

The projected number of each county's 1999 in-center patients is divided by 3.2. The quotient is the projection of 

the county's 1999 in-center dialysis stations. 

Prom each county's projected number of 1999 in-center stations is subtracted the county's number of stations 

certified for Medicare. CON-approved and awaiting certification, awaiting resolution of CON appeals, and the 

number represented by need determinations in previous State Medical Facilities Plans or Semiannual Dialysis 

Reports for which CON decisions have not been made. The remainder is the county's 1999 projected surplus or 

deficit. 



If a county's 1999 projected station deficit is ten or greater and the SDR shows that utilization of each dialysis 
facility in the county is 80°o or greater, the 1999 county station need determination is the same as the )999 projected 
station deficit. If a county's 1999 projected station deficit is less than ten or if the utilization of any dialysis facility 
in the county is less than 80° o. the county's 1999 station need determination is zero. 
Facility Need. A dialvsis facility located in a county for yvhich the result of tlie County Need meth odology js zero in the 
reference Semiannual Dialysis Report (SDR) is determined to need additional stations to thie e.xtent that: 

(A) Its utilization, reported in the current SDR, is 3.2 patients per station or greater. 

(B) Such need, calculated as follows, is reported in an application for a certificate of need: 

(i) The facility's number of in-center dialvsis patients reported in the previous SDR (SDR | ) is subtracted from 
the number of in-center dialysis patients reported in the current SDR (SDR -)). The difference is multiplied 
by 2 to project the net in-center change for I year. Divide the projected net in-center change for the year by 
the number of in-center patients from SDR | to determine the projected annual groyvth rate. 



1143 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



TEMPORARY RULES 



(ii) The quotient from Subpan (b)(2)(B)(i) of this Rule is divided b\ 12. 
(iii) The quotient from Subpart (b)(2)(B)(ii) of this Rule is multiplied by the number of months from the most 

recent month reported in the current SDR until the end of calendar 1999. 
(iv) The product from Subpart (b)(2)(B)(iii) of this Rule is multiplied by the number of the facility's in-center 
patients reported in the current SDR and that product js added to such reported number of in-center patients, 
(v) The sum from Subpart (b)(2)(B)(iv) ot" this Rule js divided by 3^ and from the quotient is subtracted the 
facility's current number of certified and pendint; stations as recorded in the current SDR. The remainder is 
the number of" stations needed. 
(C) The facility may apply to expand to meet the need established in Subpart (b)(2)(B)(v) of this Rule, up to a ma.ximum 
of ten stations, 
(c) The schedule for publication of the North Carolina Semiannual Dialysis Reports (SDR) and for receipt of certificate of need 
applications based on each issue of this report in 1999 shall be as follows: 



Data for 
Period Ending 



Receipt of 
SEKC Report 



Publication 
of SDR 



Receipt of 
CON Application 



Beginning 
s Review Dates 



Dec. 31. 1998 



Feb. 26, 1999 March 19. 1999 May 14. 1999 



.Iune30. 1999 Aug. 31,1999 Sept. 20, 1999 Nov. 15, 



999 



June 1, 1999 



Dec. 



1999 



(d) An application for a certificate ot" need pursuant to this Rule shall be considered consistent with G.S. 131E-183(a)( 1 ) onK if 
it demonstrates a need by utilizing one of the methods of determining need outlined in this Rule. 

(e) An application for a new End Stage Renal Disease facility shall not be approved unless it documents the need for at least 10 
stations based on utilization of 3.2 patien ts per station per week. 

(jQ Home patients will not be included in determination of need for new stations. 

Histoiy Note: Aulhorin- G.S. 131 E- 1 ^6(25): 131E-177(I): I3IE-I83(b}: 
Temporary Adoption Eff. January J^ 1999. 

.6225 HOSPICE NEED DETERMINATION (REVIEW CATEGORY F) 

It is determined that there is no need for additional Hospices. 

History Note: Authority G.S. 131E-r6(25): UlE-T'd): 1 31 E-1 83(b): 
Temporary Adoption Eff. January L_ 1999. 

.611() HOSPICE INPATIENT FACILITY BED NEED DETERMINATION (REVIEW CATEGORY F) 

(a) Single Counties. Single counties with a projected deficit of six or more beds are determined to have a bed need equal to the 
projected deficit. It is determined that there is no need for additional single county hospice inpatient facilits beds. 

(b) Contiguous Counties, ft is determined that any combination of two or more contiguous counties taken from the following list 
shall have a need for new hospice inpatient facility beds if the combined bed deficit for the grouping of contiguous counties totals 
six or more beds. Each counts in a grouping of contiguous counties must have a deficit of at least one and no more than five beds. 
The need for the grouping of contiguous counties shall be the sum of the deficits in the individual counties. For purposes of this Rule. 
"contiguous counties" shall mean a grouping of North Carolina counties vshich includes the county in which the new hospice inpatient 
facilits is proposed to be located and any one or more of the North Carolina counties which have a common border with that county, 
even if the borders only touch at one point. No county may be included in a grouping of contiguous counties unless it is listed in the 
following table: 



Count\ 


Hospice Inpatient 


Bed Deficit 


Mitchell 


1 


Haywood 


1 


Jackson 


1 


Rutherford 


2 


Watauga 


1 


McDowell 


1 


Wilkes 


1 



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NORTH CAROLINA REGISTER 



January 15, 1999 



1144 



TEMPORAR Y RULES 



Yadkin 


1 


Yancev 


1 


Alamance 


2 


Davidson 


2 


Randolph 


3 


Rockingham 


2 


Sum 


2 


Cabarrus 


2 


Gaston 


3 


Iredell 


1 


Lincoln 


1 


Mecklenburg 


2 


Rowan 


1 


Stanlv 


1 


Union 


2 


Anson 


1 


Durham 


3 


Johnston 


1 


Bladen 


1 


Brunswick 


2 


Columbus 


2 


Cumberland 


2 


Moore 


2 


Richmond 


3 


Montgomery' 


1 


Robeson 


1 


Scotland 


1 


Bertie 


1 


Carteret 


1 


Craven 


1 


Duplin 


1 


Edgecombe 


1 


Hertford 


1 


Nash 


1 


Halifax 


1 


Onslow 


1 


Pitt 


i 


Wilson 


1 



History Note: Aiithorit}- G.S. 131E-r6(25): 13!E-I"(I); 1 31 E-! 83(h): 
Temporaty Adoption Eff. January I, 1999. 

.6227 PSYCHIATRIC BED NEED DETERIVIINATION (REVIEW CATEGORY C) 

It is determined that there is no need for additional psychiatric beds. 

History Note: Authority- G.S. 131E-r6l25): 13IE-ril): 131E-183(bl: 
Teniporar\- Adoption Eff. January J_^ 1999. 

.6228 CHEMICAL DEPENDENCY (SUBSTANCE ABUSE) TREATMENT BED NEED DETERMINATION (REVIEW 
CATEGOR^ C) 

(a) Adult Treamient Beds. It is detennined that there is a need for 1 7 additional chemical dependency (substance abuse ) t reatm ent 
beds for adults in thie Eastern Mental Health Planning Region, it is determined that there is no need for additional chemical 
dependency (substance abuse) treatment beds for adults in any other mental health planning region. 

(b) Adult Detox-Onl\ Beds. It is determined that there is a need for additional deto\-onl\ beds for adults. The following table lists 
the mental health planning areas that need detox-only beds for adults and identifies the number of such beds needed in each planning 
area. It is determined that there is no need for additional detox-onK beds for adults in any other mental health planning area. 



1J45 



NORTH CAROLINA REGISTER 



Jamian IS, 1999 



13:14 



TEMPOR.4RY RULES 



Mental Health Planning Areas 
Onlv 
(Constituent Counties) 


Mental Health 
Planning Regions 


Number of Detox- 
Beds Needed 


i 

4 

5 

6 

ii 

\A 
16 

17 

12 

20 

22 
25 
26 
30 
3i 
32 
33 
34 
35 
37 
38 
39 

40 


(Jackson, Haywood, Macon, Cherokee, 
Clav, Graham, Swain) 
(Transylvania, Henderson) 


w 
w 

W 

W 

W 

NC 

NC 

NC 

NC 

SC 

SC 

SC 

SC 

E 

E 

E 

E 

E 

E 

E 

E 

E 

E 


10. 

10 

10 

10 

10 

10 

6 

2 

10 

10 

5 

7 

26 

4 

10 

6 

10 

10 

10 

4 

5 

10 

10 


(Caldwell, Burke, Alexander, McDowell) 


(Rutherford, Polk) 


(Rowan, Cabarrus, Stanly, Union) 


(Rockingham) 


(Alamance, Caswell) 


(Orange, Person, Chatham) 


(Vance, Granville, Franklin, Warren) 


(Davidson) 


(Robeson, Bladen, Scotland, Columbus) 


(Johnston) 


(Wake) 


(Wayne) 


(Wilson, Greene) 


(Edgecombe, Nash) 


(Halifax) 


(Craven, Jones, Pamlico, Carteret) 


(Lenoir) 


(Hertford, Bertie, Gates, Northampton) 


(Beaufort, Washington, Tvrrell. Hyde, Martin) 


(Pasquotank, Chowan, Perquimans, Camden, 


Dare, Currituck) 
(Duplin, Sampson) 



(c) "Detox-only beds for adults" are chemical dependency treatment beds that are occupied exclusively by persons who are 1 8 years 
of age or older who are experiencing physiological withdrawal from the effects of alcohol or other drugs. 

(d) Detox-only beds for adults may be developed outside of the mental health planning area in which they are needed if: 

( 1 ) The beds are developed in a contiguous mental health planning area that is within the same mental health planning region, 
as defined by 10 NCAC 3R .6204(c); and 

(2) The program board in the planning area in which the beds are needed and the program board in the planning area in which 
the beds are to be developed each adopt a resolution supporting the development of the beds jn the contiguous planning 
area. 

(e) Child/ Adolescent Treatment Beds. It is determined that there is no need for additional chemical dependency (substance abuse) 
treatment beds for children/adolescents. 

(0 The county or counties which comprise each mental health planning area are listed in 10 NCAC 3R .6204(b). 

HislO)y Note: Authority G.S. 131 E-l 76(25): I31E-I7^(1): I31E-1 83(h): 
Temporary Adopt ion Eff. Januarx ]_^ 1999. 

.6229 INTERMEDIATE CARE BEDS FOR THE MENTALLY RETARDED NEED DETERMINATION (REVIEW 
CATEGORY C) 

(a) Adult Intemiediate Care Beds for the Mentally Retarded. It is determined that the mental health planning areas listed in the 
following table need additional Adult Intermediate Care Beds for the Mentally Retarded ("ICF MR beds"). The table identifies the 
number of new adult ICF MR beds needed by each of the listed planning areas. U is determined that there is no need for new Adult 
ICF.'MR facilities or for any additional ICF/MR beds in any other mental health planning areas, except as provided in Rule 1 NCAC 
3 R .6206(a)(8). 



Mental Health Planning Area (Constituent Counties) 



Need 
Determination 



Adul' 



13:N 



NORTH CAROLINA REGISTER 



January 15. 1999 



1146 



TEMPOIL4RY RULES 



8 (Gaston-Lincoln) 
29 (Onslow) 



(b) Child/Adolescent Intermediate Care Beds for the Mentally Retarded. It h determined that there js no need for additional 
Child/Adolescent Intermediate Care Beds for the Mentally Retarded (ICF/MR beds). 

Hisloiy Note: Authority G.S. l3IE-r6(25): I3IE-r7(l): 131E-I83(bj: 
Temporary Adoption Eff. Januan' I, 1999. 

.6230 POLICIES FOR GENERAL ACUTE CARE HOSPITALS 

(a) Use of Licensed Bed Capacity Data for Planning Purposes. For planning purposes the number of licensed beds shall be 
determined by the Diyision of Facility Services in accordance with standards found in 10 NCAC 3C .6200 and .3102(d). 

(b) Utilization of Acute Care Hospital Bed Capacity. Conyersion of underutilized hospital space to other needed purposes shall 
be considered an alternative to new construction. Hospitals falling below utilization targets in Paragraph (e) of this Rule are assumed 
to have underutilized space. Any such hospital proposing new construction must clearly demonstrate that it is more cost-effective 
than conversion of existing space . 

(c) Exemption from Plan Provisions for Certain Academic Medical Center Teaching Hospital Projects. Projects for which 
certificates of need are sought bv academic medical center teaching hospitals may qualilA for exemption from provisions of 10 NCAC 
3R .6207 through .6229. 

(1) The State Medical Facilities Planning Section shall designate as an Academic Medical Center Teachin g Hospital any 
facility whose application for such designation demonstrates the following characteristics of the hospital: 

(A) Serves as a primary teaching site for a school of medicine and at least one other health professional school, providing 
undergraduate, graduate and postgraduate education. 

(B) Houses extensive basic medical science and clinical research programs, patients and equipment. 

(C) Seryes the treatment needs of patients from a broad geographic area through multiple medical specialties. 

(2) Exemption from the provisions of 10 NCAC 3R .6207 through .6229 shall be granted to projects submitted by Academic 
Medical Center Teaching Hospitals designated prior to Januar%' I. 1990 which projects compK with one of the following 
conditions: 

(A) Necessary to complement a specified and approved expansion of the number or types of students, residents or 
faculty, as certified by the head of the relevant associated professional school: or 

(B) NecessarN' to accommodate patients, staff or equipment for a specified and approved expansion of research activities. 
as certified by the head of the entity sponsoring the research; or 

(C) Necessary to accommodate changes in requirements of specialty education accrediting bodies, as evidenced by 
copies of documents issued bv such bodies. 

(3) A project submitted bv an Academic Medical Center Teaching Hospital under this Policy that meets one of the above 
conditions shall also demonstrate that the Academic Medical Center Teaching Hospital's teaching or researach need for 
the proposed project cannot be achieved effectiveh at any non-Academic Medical Center Teaching Hospital provider which 
currently offers the service for which the exemption is requested and which is within 20 miles of the Academic Medical 
Center Teaching Hospital. 

(4) Any service, facility or equipment that results from a project submitted under this Policy after January I. 1999 shall be 
excluded from the inventory ot' that service, facility or equipment jn the State Medical Facilities Plan. 

(d) Reconversion to Acute Care. Facilities redistributing beds from acute care bed capacity to rehabilitation or psychiafric use shall 
obtain a certificate of need to convert this capacity back to acute care. Application for reconversion of acute care beds converted to 
psychiatry or rehabilitation back to acute care beds shall be evaluated against the hospital's utilization in relation to the target 
occupancies for acute care beds shown below, without regard to the acute care bed need detenninations shown in 10 NCAC 3R .6207. 

Licensed Bed Capacity Percent Occupancy 
1:49 65% 

50:99 70% 

100:199 75% 

200:699 80% 

700+ 81.5% 

(e) Replacement ot" Acute Care Bed Capacity. The evaluation of proposals for either partial or total replaceme nt of acii te care beds 
(i.e.. construction of new space for existing acute care beds) shall be evaluated against the utilization of the total number of acute care 
beds in the applicant's hospital in relation to the target occupancy of the total number of beds in that hospital which is detennined 
as follows: 

Total Licensed Acute Care Beds Target Occupancy (Percent) 

1147 NORTH CAROLINA REGISTER January 15, 1999 13:14 



TEMP0R.4 RY RULES 



i;49 
50:99 
100- 199 
200-699 
700 + 



65% 
70% 
75% 
SO-'o 



81.5% 

(f) Allogeneic Bone Marrow Transplantation Services. Allogeneic bone marrow transplants shall be provided only in facilities 
having the capability of doing HLA matching and of management of patients having solid organ transplants. At their present stage 
of development it is determined that allogeneic bone marrow transplantation services shall be limited to Academic Medical Center 
Teaching Hospitals. 

(g) Solid Organ Transplantation Services. Solid organ transplant services shall be limited to Academic Medical Center Teaching 
Hospitals at this stage of the development of this service. 

History Note: Authorit}- G.S. l3IE-r6(25): 131E-177(1>: 131E-183(b;: 
Temporary Adoption Eff. January J_^ 1999. 



.6231 POLICIES FOR INPATIENT 

REHABILITATION SERVICES 

(a) After applying other required criteria, when superiority 
among two or more competing rehabilitation facility certificate 
of need applications js uncertain, favorable consideration shall 
be given to proposals that make rehabilitation services more 
accessible to patients and their families or are part of a 
comprehensive regional rehabilitation network. 

(b) Rehabilitation care which can be provided in an outpatient 
or home setting shall be provided ]n these settings. All new 
inpatient rehabilitation programs are required to provide 
comprehensive outpatient rehabilitation services as part ot" their 
service delivery programs. 

Histoiy Note: Authority G.S. 131E-r6(25): 131E-177(1): 

131E-I83(b): 

Temporary Adoption Eff. January J_^ 1999. 

.6232 POLICY FOR AMBULATORY SURGICAL 
FACILITIES 

After appK ing other required criteria, when superiority among 
two or more competing ambulatory surgical facility certificate of 
need applications js uncertain, favorable consideration shall be 
given to "multi-specialtv programs" over "specialty programs" 
in areas where need js demonstrated [n K) NCAC 3R .6209. A 
multi-specialtv ambulatory surgical program shall have the same 
meaning as defined m G.S. 13 1 E-176( 15a) and an ambulatory 
surgical facility shall have the same meaning as defined in G.S. 
131E-176(la). 

History Note: .4uthorit^' G.S. 131E-r6l25): 131E-n7(l): 

1 31 E- 183(b): 

Temporary' Adoption Eff. Janiian- ]_^ 1999. 

.6233 POLICY FOR PROVISION OF HOSPITAL- 
BASED LONG-TERM NURSING CARE 

(a) A certificate of need may be issued to a hospital which js 
licensed under G.S. 13 IE. Article 5^ and which meets the 



metropolitan by the U.S. Office of Management and 
Budget on January 1. 1999; and 
(2) on January L, 1999. had a licensed acute care bed 



conditions set forth below and in 10 NCAC 3R .1 100. to convert 
up to ten beds from its licensed acute care bed capacity for use 
as hospital-based long-term nursing care beds without regard to 
determinations of need in 10 NCAC 3R .6222 if the hospital: 
( 1 ) is located in a county which was designated as non- 



capacity of 150 beds or less. 
The certificate of need shall remain in force as lone 



as the 



Department of Health and Human Services determines that the 
hospital is meeting the conditions outlined in this Paragraph. 

(b) "Hospital-based long-term nursing care" js defined as 
long-term nursing care provided to a patient who has been 
directly discharged from an acute care bed and cannot be 
immediately placed m a licensed nursing facility because of the 
unavailability of a bed appropriate for the individual's needs. 
Determination of the patient's need for hospital-based long-term 
nursing care shall be made in accordance with criteria and 
procedures for determining need for long-term nursing care 
administered by the Division of Medical Assistance and the 
Medicare program. Beds developed under this Paragraph are 
intended to provide placement for residents only when 
placement in other long-term care beds js unavailable in the 
geographic area. Hospitals which develop beds under this 
Paragraph shall discharge patients to other nursing facilities with 
available beds in the geographic area as soon as possible where 
appropriate and permissible under applicable lavs. Necessary 
documentation including copies of physician referral forms (PL 
2j on aj] patients m hospital-based nursing units shall be made 
available for review upon request by dulv authorized 
representatives of licensed nursing facilities. 

(c) For purposes of this Paragraph, beds tn hospital-based 
long-term nursing care shall be certified as a "distinct part" as 
defined by the Health Care Financing Administration. Beds in 
a "distinct part" shall be converted from the existing licensed bed 
capacity of the hospital and shall not be reconverted to any other 
category or type of bed without a certificate of need. An 
application for a certificate of need for reconverting beds to 
acute care shall be evaluated against the hospital's serv ice needs 
utilizing target occupancies shown in J_0 NCAC 3R .6230(d). 
without regard to the acute care bed need shown in 1 NCAC 3R 
.6207. 

(d) A certificate of need issued for a hospital-based long-term 
nursing care unit shall remain in force as long as the follow ing 
conditions are met: 

( 1 ) the beds shall be certified for participation in the Title 
XVllI (Medicare) and Inje XJX (Medicaid) 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1148 



TEMPOIL4R Y RULES 



Programs; 

(2) the hospital discharges residents to other nursing 
faciHties m the geographic area with available beds 
when such discharge js appropriate and permissible 
under applicable law; 

(3) patients admitted shall have been acutely ill inpatients 
of an acute hospital or jts satellites immediately 
preceding placement in the unit. 

(e) The granting of beds lor hospital-based long-term nursing 
care shall not allow a hospital to convert additional beds without 
first obtaining a certificate of need. 

(f) Where any hospital, or the parent corporation or entity of 
such hospital, any subsidiary corporation or entity of such 
hospital, or any corporation or entitx' related to or affiliated with 
such hospital by common ownership, control or management: 

(1 ) applies for and receives a certificate of need for long- 
term care bed need determinations [n 10 NCAC 3R 
.6222; or 

(2) currently has nursing home beds licensed as a part of 
the hospital under G.S. 1 3 1 E. Article 5; or 

(3) currently operates long-tenn care beds under the 
Federal Swing Bed Program (P.L. 96-4QQ), 

such hospital shall not be eligible to apply for a certificate of 
need for hospital-based long-term care nursing beds under this 
Rule. Hospitals desi gnated by the State of North Carolina as 
Critical Access Hospitals pursuant to Section 1820(0 of the 
Social Security Act, as amended, which have not been allocated 
long-term care beds under provisions of G.S. 131 E- 1 75 through 
13 IE- 190. may apply to develop beds under this Paragraph. 
However, such hospitals shall not develop long-term care beds 
both to meet needs determined [n j_0 NCAC 3R .6222 and this 
Paragraph. 

(g) Beds certified as a "distinct part" under this Paragraph 
shall be counted in the inventory of existing long-term care beds 
and used in the calculation of unmet long-term care bed need for 
the general population of a planning area. Applications for 
certificates of need pursuant to this Paragraph shall be accepted 
only for the February I review cycle. Beds awarded under this 
Paragraph shall be deducted from need determinations for the 
county as shown in 10 NCAC 3R .6222. Continuation of this 
Rule shall be reviewed and approved by the Department of 
Health and Human Services annually. Certificates of need 
issued under policies analogous to this policy in State Medical 
Facilities Plans subsequent to the 1986 State Medical Facilities 
Plan are automatically amended to conform with the provisions 
of this Paragraph. The Department of Health and Human 
Services shall monitor this program and ensure that patients 
affected by thjs Paragraph are receiving appropriate services. 
and that conditions under which the certificate of need was 
granted are being met. 

History Note: Authority G.S. 1 31 £-176(25): 131 £-177(1): 

I31E-IS3(h): 

Teinporarx Adoption £ff. Jaimarv L_ 1999. 

.6234 POLICY FOR NURSING CARE BEDS IN 
CONTINUING CARE FACILITIES 

(a) Qualified continuing care facilities may include from the 



outset, or add or convert bed capacity for long-term nursing care 
without regard to the bed need shown in K) NCAC 3R .6222. 
To qualify for such exemption, applications for certificates of 
need shall show that the proposed long-term nursing bed 
capacity: 

( 1) Will only be developed concurrently with, or 
subsequent to construction on the same site, of 
facilities for both of the following levels of care: 

(A) independent living accommodations 
(apartments and homes) for persons who are 
able to carry out normal activities of daily 
living without assistance; such 
accommodations may be jn the form of 
apartments, flats, houses, cottages, and rooms 
within a suitable structure; 

(B) licensed adult care home beds for use by 
persons who, because of age or disability 
require some personal services, incidental 
medical services, and room and board to assure 
their safety and comfort. 

(2) Will be used exclusively to meet the needs of persons 
with whom the facility has continuing care contracts 
(in compliance with the Department of Insurance 
statutes and rules) who have lived jn a non-nursing 
unit of the continuing care facility for a period of at 
least 30 davs. Exceptions shall be allowed when one 
spouse or sibling is admitted to the nursing unit at the 
time the other spouse or sibling moves into a non- 
nursing unit, or when the medical condition requiring 
nursing care was not known to exist or be imminent 
when the individual became a party to the continuing 
care contract. Financial consideration paid by persons 
purchasing a continuing care contract shall be 
equitable between persons entering at the independent 
living and licensed adult care home levels of care. 

(3) Reflects the number of beds required to meet the 
current or projected needs of residents with whom the 
facility has an agreement to provide continuing care, 
after making use of a[l feasible alternatives to 
institutional nursing care. 

(4) Will not be certified for participation in the Medicaid 
program. 

(b) One half of the long-term nursing beds developed under 
this exemption shall be excluded from the inventory used to 
project bed need for the general population. Certificates of need 
issued under policies analogous to this policy jn State Medical 
Facilities Plans subsequent to the 1985 SMFP are automatically 
amended to conform with the provisions of thjs Paragraph. 
Certificates of need awarded pursuant to the provisions of 
Chapter 920. Session Laws 1983. or Chapter 445^ Session Laws 
1985 shall not be amended. 

HistoiyNote: Authority G.S. 13IE-l''6(25): 131£-17'(I): 

131£-183(b): 

Tt'DiporaiT Adoption Eff. January 1. 1999. 

.6235 POLICY FOR DETERMINATION OF NEED 
FOR ADDITIONAL NURSING BEDS IN 



1149 



NORTH CAROLINA REGISTER 



Januan 15. 1999 



13:14 



TEMPOR.4R Y R ULES 



SINGLE PROVIDER COUNTIES 

When a long-term care facility with fewer than 80 nursing care 
beds is the onh nursing care facility within a county, it may 
apply for a certificate of need for additional nursing beds in 
order to bring the minimum number of beds available within the 
county to no more than 80 nursing beds without regard to the 
nursing bed need determination for that county as listed jn _!_0 
NCAC 3R .6222. 

History Note: Authority CS. BIE-r6(25l: 131 E-1 77(1); 

131E-183fh): 

Temporan,- Adoption Eff. Jimuur\ [^ 1 999. 

.6236 POLICY FOR RELOCATION OF CERTAIN 
NURSING FACILITY BEDS 

A certificate ot" need to relocate existing licensed nursing 
facility beds to another county (ies) maN be issued to a facility 
licensed as a nursing facility under G.S. 1 3 1 E. Article 6. Part A. 
provided that the conditions set forth in this Paragraph and in 10 
NCAC 3R .1100 and the review criteria in G.S. 131E-183(a) are 
met. 

( 1) A facility applying for a certificate of need to relocate 
nursing facility beds shall demonstrate that: 

(a) it is a non-profit nursing facility supported by 
and directly affiliated with a particular religion 
and that jt js the only nursin g faciliu in North 
Carolina supported bv and affiliated yvith that 
religion; 

(b) the primary purpose for the nursing facility "s 
existence is to provide long-term care to 
followers of tlie specified religion in an 
environment which emphasizes religious 
customs, ceremonies, and practices; 

(c) relocation of the nursing facility beds to one or 
more sites is necessary to more effectively 
provide long-term nursing care to followers of 
the specified religion in an environment which 
emphasizes religious customs, ceremonies, and 
practices; 

(d) the nursing facility js expected to serve 
followers at" tlie specified religion from a 
multi-count> area; and 

(e) the needs of tlie population presently ser\ed 
shall be met adequately pursuant to G.S. 13 lE- 
183. 

(2) Exemption from the provisions of 10 NCAC 3R .6222 
shall be granted to a nursing facility for purposes of 
relocating existing licensed nursing beds to another 
county provided that it complies with all of the criteria 
listed in this Rule. 

(3) Any certificate of need issued under this Rule shall be 
subject to the following conditions: 

(a) the nursing facility shall relocate beds in at 
least two stages over a period of at least six 
months; and 

(b) the nursing facility shall provide a letter to the 
Medical Facilities Licensure Section, on or 
before the date that the first group of beds are 



relocated. irrevocabK committing the facility to 
relocate all of tfie nursing facility beds for 
which it lias a certificate of need to relocate; 
and 
(c) subsequent to providing the letter to the 
Medical Facilities Licensure Section described 
in Subpart (3)(b) of tfiis Rule, the nursing 
facility shall accept no nevs patients in the beds 
which are being relocated, except new patients 
who, prior to admission, indicate their desire to 
transfer to the facility's new location(s). 

HistorvNote: Authority G.S 131E-r6(25}: BIE-T'd): 

1 31 E- 1 83(b): 

Temporary' Adoption Eff. Jutiuurv ]_^ 1999. 

.6237 POLICY FOR HOME HEALTH SERVICES 

Need Determination Upon Termination of County's Sole 
Home Health Agency. When a home health agency's board of 
directors, or in the case of a public agenc\. the responsible 
public body, votes to discontinue the agency 's provision of home 
health services; and 

( 1 ) the agency is the only home health agency with ao 
office physicalK located in the county ; and 

(2) the agency is not being lawfully transferred to another 
entity; 

need for a new home health agency office in the county is 
thereby established through this Rule. Following receipt of 
written notice ot' such decision from the home health agency's 
chief administrative otTicer. the Certificate of Need Section shall 
give public notice of the need for one home health agency office 
in the county, and the dates of the revieyy of applications to meet 
the need. Such notice shall be given no less than 45 davs prior 
to tlie final date for receipt of' applications in a newspaper 
serving the county and to home health agencies located outside 
the county reporting serving county patients in the most recent 
licensure applications on file. 

HistorvNote: Authority U.S. 13IE-r6(25): 131 E-1 "(1); 

131E-183(b): 

Temporary .Adoption Eff January l_^ 1999. 

.6238 POLICY FOR END-STAGE RENAL DISEASE 
DIALYSIS SERVICES 

Relocation of Dialysis Stations. Relocations of existing 
dialysis stations are allowed only within the host county and to 
contiguous counties currently ser\ed by the facility. Certificate 
of need applicants proposing to relocate dialysis stations shall: 

( 1) demonstrate that the proposal shall not result in a 
deficit in tfie number of diaKsis stations in tlie county 
that would be losing stations as a result of the 
proposed project, as reflected io the most recent 
Semiannual Dialysis Report, and 

(2) demonstrate that the proposal shall not result in a 
surplus of diaKsis stations in tlie county that yvould 
gain stations as a result of tlie proposed project, as 
reflected rn the most recent Semiannual Dialysis 
Report. 



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History Note: Authohty G.S. 131 £-176(25); 131E-177(1); 

13IE-)83(b): 

Temporary Adoption Eff. January ]_^ 1999. 

.6239 POLICIES FOR PSYCHIATRIC INPATIENT 
FACILITIES 

(a) Transfer of Beds from State Psychiatric Hospitals to 
Community Facilities. Beds in the State psychiatric hospitals 
used to serve short-term psychiatric patients may be relocated to 
community facilities. However, before beds are transferred out 
of the State psychiatric hospitals, appropriate services and 
programs shall be available jn the community. State hospital 
beds which are relocated to community facilities shall be closed 
within 90 days following the date the transferred beds become 
operational jn the community. Facilities proposing to operate 
transferred beds shall commit to serve the type of short-term 
patients normalK placed at the State psychiatric hospitals. To 
help ensure that relocated beds will serve those persons who 
would have been served by the State psychiatric hospitals, a 
proposal to transfer beds from a State hospital shall include a 
written memorandum of agreement between the area 
MH/DD/SAS program serving the county where the beds are to 
be located, the Secretary of Health and Human Services, and the 
person submitting the proposal. 

(b) Allocation of Psychiatric Beds. A hospital submitting a 
Certificate of Need application to add inpatient psychiatric beds 
shall convert excess licensed acute care beds to psychiatric beds. 
In determining excess licensed acute care beds, the hospital shall 
subtract the average occupancy rate for its licensed acute care 
beds over the previous 12-month period from the appropriate 
target occupancy rate for acute care beds listed in 1 NCAC 3R 
.6230(d) and multiply the difference by the number of jts 
existing licensed acute care beds. 

(c) Linkages Between Treatment Settings. An applicant 
a pplying for a certificate of need for psychiatric inpatient facility 
beds shall document that the affected area mental health, 
developmental disabilities and substance abuse authorities have 
been contacted and invited to comment on the proposed services. 

Histofj Note: Aiithorit\- G.S. 1 31 £-176(25): 131£-l77(i): 

131£-183(h): 

Tern par an- Adoption Eff. January- [^ 1999. 

.6240 POLICY FOR CHEMICAL DEPENDENCY 
TREATMENT FACILITIES 

Linkages Benveen Treatment Settings. An applicant applying 
for a certificate of need for chemical dependency treatment 
facility beds shall document that the affected area mental health, 
developmental disabilities and substance abuse authorities have 
been contacted and invited to comment on the proposed services. 

History Note: Authority G.S. 13! £-176(25): I31E-r-ll): 

131£-lH3(h): 

Temporary .Adoption Eff. Januar\- 1_^ 1999. 

.6241 POLICIES FOR INTERMEDIATE CARE 

FACILITIES FOR MENTALLY RETARDED 

Linkages Between Treatment Settings. An applicant applying 



for a certificate of need for intermediate care facility beds for 
mentally retarded shall document that the affected area mental 
health, developmental disabilities and substance abuse 
authorities have been contacted and invited to comment on the 
proposed services. 

HistoiyNote: Authority G.S. 131 £-176(25): 131 £-177(1); 

131£-183(b): 

Temporary' Adoption Eff. January l^ 1999. 



TITLE 18 - SECRETARY OF STATE 

Rule-making Agency: Securities Division 

Rule Citation: 18 NCAC 06. 1212. .1304. .1502 

Effective Date: December 22. 1998 

Findings Reviewed by Julian Mann: Approved 

Authority for the rule-making: G.S. 78A-49 

Reason for Proposed Action: The changes to N.C.G.S. 
Sections 78A-28. -30. and -31 that become effective Jan. 1. 1999 
will make two broad changes to our fee schedule. First, flat 
filing fees of S2000 will replace existing fees for both the 
registration of public offerings of securities and for notice filings 
by mutual funds. Second, the amended Section 78.4-30 sets a 
graduated fee for fairness hearings, yet S.B. 1366 fails to 
delineate how this fee will be calculated. 

Comment Procedures: Comments concerning this temporary- 
rule mo}- be addressed to Pamela I'. Milward. 300 N. Salisbury 
Street. Suite 100. Raleigh. NC 27606. (919)733-0235 or Da\id 
S. Massey 300 N. Salisbun- Street. Suite 100. Raleigh. NC 
27606, (919) 733-3924. 

CHAPTER 18 - SECURITIES DIVISION 

SECTION .1200 - EXEMPTIONS 

.1212 NOTICE FILING PROCEDURES FOR 
OFFERINGS OF INVESTMENT COMPANY 
SECURITIES 

(a) In lieu of filing a cop\ of the federal registration 
statement, an investment company offering securities covered 
under Section 18(b)(2) of the Securities Act of 1933, as 
amended, may satisfy the notice filing requirement of G.S. 78 A- 
31(a) by filing the fees required by that section, together with 
Form NF, Uniform Investment Compan\ Notice Filing. Ihis 
filing need not be made nor fees paid on an} security issued b\ 
an investment company if such securit\ is exempt pursuant to the 
provisions of G.S. 78A-16 or 78A-17. 

(b) By filing Form NF, an investment company thereby agrees 
that, upon receipt of a request from the Securities Division, the 
investment company will promptly provide to the Division a 



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copy of its current prospectus and statement of additional 
information, if an>, as filed with the Securities and Exchange 
Commission. 

(c) By executing the Form NF, the investment company 
thereby agrees, that for purposes of complying with the laws of 
this State, such execution shall be deemed to be the consent of 
the in\estment compan\ to have the Administrator irrevocablv 
appointed as its agent in this State upon whom may be served 
an\ notice, process or pleading in an\ action or proceeding 
against it arising out of. or in connection with, the sale of 
securities covered b\ such Form NF or arising out of the 
violation of the securities laws of this State; and that any action 
or proceeding against the investment company may be 
commenced in an\ court of competent jurisdiction and proper 
venue within this State by service of process upon the 
Administrator with the same effect as if the investment company 
was organized or created under the laws of this State and had 
been served lawfulh with process in this State. In the event any 
notice, process or pleading is served on the investment company 
through the Administrator, the Administrator shall promptK 
provide a copy of such notice, process, or pleading to the person 
indicated in Item 5 of Form NF. 

(d) Upon filing Fomi NF and paying e ith e r th e minimum or 
maximum f ee s fee required by G.S. 78A-3 1 (a)( 1 ), the securities 
of the investment company may be offered for sale and sold into, 
from, and within this State until the expiration of the notice 
filing period pursuant to G.S. 78A-3 1(a)(4). In order to offer or 
sell its securities after the expiration of its notice filing, the 
investment companv must extend its notice filing as prov ided in 
subsection fP) (ej of this Rule. In the event that the Securities 
Division requests that the investment company provide it with a 
cop> of the investment companv ' s prospectus or statement of 
additional information, such request shall not restrict the abilitv 
of the investment company to offer its securities for sale in this 
State provided that the Division has received the Form NF and 
fees as required by G.S. 78A-3 1 (a). 

( e ) An\ i nv e stm e nt companv that e l e ct s to pay a f ee l e s s than 
th e maximum f ee as provid e d in G.S. 78A 3 1(a) s ha ll fil e a s al es 
r e port on Fonn NF. with th e Div i s i on, within two month s aft e r 
th e e xpiration of th e not i c e Fil i ng p e r i od. 

(f)(e) A notice filing may be renewed by the investment 
company by filing a current Form NF and paying such fees as 
are required b\ G.S. 78A-31(a) within two months after the 
expiration of the prior notice filing period. Each renewal of a 
notice filing shall expire on December 3 1 . 

fgr) tf) Amendments to increase the amount of shares to be 
offered mav be made b\ filing a revised Form NF, together with 
the fees required by G.S. 78 A-3 1(a)(5). 

Histoiy Note: Authoniy G.S. "S.-l-S 1(d): ~8A-49(u/: 

Temporan- Adoption Eff October I. I99~: 

Eff. August I. 199H: 

Temporary .Amendment Eff. January ]_^ 1999. 

SECTION .1300 - REGISTRATION OF SECLRITIES 

.1304 SECURITIES REGISTRATION AND FILING 



FEES 

(a) All fees (r e gistrat i on and fi l ing) are payable to the Office 
of the Secretary of State and shall be submitted with the 
application for original, renewal, or additional registration. The 
r e g i stration f ee sha l l b e r e tain e d b\ th e administrator, e xcept 
wh e r e th e r e g is tration is not granted b* . the administrator or 
wh e r e th e r e gi s tration is withdrawn at th e r e qu e st of th e 
appl i cant and with th e cons e nt of th e adm i nistrator The filing 
fee shall be retained b\ the administrator in all cases. 

(b) The aggregate offering amount of an original or amended 
registration ma\ be increased prior to or after the effectiseness 
of the registration b\ providing the administrator the following; 

(1) An additional registration filing fee of fiftv dollars 

($50.00) if such filing occurs after the effective date 

of the offering; and 

fJ^ Th e app ropriate r e g is tration f ee calculat e d in the 

mann e r s p e cifi e d in G.S. 7 8 A 2 8 (b). provid e d th e maximum 

r e gi s tration foe ha s not been paid; and 

-f^2) An amendment to the Uniform Application to 

Register Securities (Fonn U-l ). 
Additional registrations shall be eflective when the administrator 
so orders. 

HistoiyNole: Authority G.S. 7HA-28(b); 78A-28{jj: 78.A- 

31(ai: ~8A-49la): 

Eff. .April I. 1 981: 

Amended Eff. September I. 1990: October 1. 1988: January 1, 

I9S4: July I. I9S2: 

Temporary .Amendment Eff. October 1. 1997: 

Amended Eff August 1. 1998: 

Temporan,- Amendment Eff. January Tj, 1999. 

SECTION .1500 - MISCELLANEOUS PROVISIONS 

.1502 APPLICATION TO EXCHANGE SECURITIES 

(a) The application and all accompanv ing documents shall be 
typed or printed and submitted to the administrator in duplicate. 
The application shall be signed and dated b_\ the applicant or by 
a person authorized to act in the applicant's behalf. 

(b) The application shall contain the following information: 

( 1 ) the name, state of incorporation, and principal office 
address of any person proposing to issue securities or 
deliver other consideration in the proposed exchange. 

(2) a brief description of the proposed transaction. 

(3) a list and a description of the securities or other 
consideration to be issued or delivered in the 
proposed exchange. 

(4) a list and a description of the bona fide securities, 
claims or propert> interests for which the securities or 
other consideration referred to in (3) of this Rule are 
to be exchanged, including the name and state of 
incorporation of the issuer of an_\ such bona fide 
securities. 

(5) a brief statement of the terms and conditions under 
which the securities or other consideration will be 
issued and exchanged or delivered and exchanged for 
the bona fide securities, claims or property interests. 

(6) a list of the names of all persons to whom the 



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1152 



TEMP0IL4RY R ULES 



securities will be issued or other consideration 
delivered in the exchange. If some or all of such 
persons are to receive the securities or other 
consideration by virtue of their ownership of shares of 
stock in a corporation, the applicant may comply with 
this requirement by submitting a list which shov\'s the 
shareholders of the corporation and the number of 
shares held by each shareholder as of a date not more 
than 30 days prior to the filing of the application. 

(7) a statement setting forth proposed findings of fact 
which the applicant requests that the administrator 
find and incorporate in the written decision with 
respect to the application. 

(8) the date, which shall be within 30 days of the date of 
filing of the application, on which the applicant 
requests that the hearing be held. 

(9) any additional information which the applicant desires 
the administrator to consider. The administrator may 
require the applicant to submit other information in 
addition to the information required by this Rule. The 
administrator may also waive or modifV the 
requirements of this Rule by allowing the applicant to 
submit less information than this Rule would 
otherwise require. 

(c) The application shall be accompanied by the following 
documents: 

( 1 ) any written agreement governing the proposed 
transaction. 

(2) a copy of the notice of the hearing which the applicant 
will mail to all persons to whom the applicant 
proposes to issue securities or to deliver other 
consideration in the proposed transaction. 

(3) an audited balance sheet, prepared in accordance with 
generally accepted accounting principles, as of the 
close of the most recent fiscal year of any corporation 
whose securities will be issued or exchanged in the 
proposed transaction. 

(4) an audited income statement, prepared in accordance 
w ith generally accepted accounting principles, for the 
most recent fiscal year of any corporation whose 
securities will be issued or exchanged in the proposed 
transaction. 

(5) any other documents which the applicant desires the 
administrator to consider. The administrator may 
require the applicant to submit other documents in 
addition to the documents required by this Rule. The 
administrator may also waive or modify the 
requirements of this Rule by allowing the applicant to 
submit fewer documents other than those which this 
Rule would otherwise require. 

(6) A written undertaking to pay, upon receipt of an 
invoice from the administrator, the fee required by 
G.S. 78A-30(g) and Subparagraph (d)(4) of this Rule. 

(d) The procedure following application shall be as follows: 
(I) The administrator shall inform the applicant of any 

deficiencies in the application or of any additional 
information or documents required and may require 
the applicant to amend or resubmit the application to 



comply with the provisions of G.S. 78A-30 or the 
rules adopted pursuant thereto prior to setting a date 
for the hearing. 

(2) Upon the filing of an application complying with the 
provisions of G.S. 78A-30 and the rules adopted 
pursuant thereto, the administrator shall inform the 
applicant of the date, hour and place of the hearing 
which shall be within 30 days after the filing of the 
application. 

(3) The applicant shall mail by United States Mail, 
Postage Prepaid, notice of such hearing to all persons 
to whom it is proposed to issue securities or to deliver 
such other consideration in such exchange, not less 
than 10 days prior to such hearing. The applicant 
shall provide to the administrator, on or before the 
date of the hearing, a certification that the notice of 
hearing has been so mailed. 

(4) Following the conclusion of the hearing, the 
Administrator shall transmit to the applicant an 
invoice for the fees required by G.S. 78A-30(g). 
These fees shall be calculated based upon the hours 
involved m the examination of the application, the 
conduct of the hearing, and the preparation of any 
written response, as follows: 

(A) For the Hearing Officer, the amount of two 
hundred dollars (S200.00) per hour. 

(B) For each Assistant to the Hearing Officer, the 
amount of one hundred dollars (SIOO.OO) per 
hour. 

But in any event the fee shall be not less than five 
hundred dollars ($500.00) nor more than five 
thousand ($5000.00) per fairness hearing. 

HistoiyNote: Authority G.S. 78.4-30: 

Eff. .April 1 . 1981: 

Temporun Amendment Eff. JanuaiT 1. 1999. 



•k "k "k "k "k "k 



'k-k'k-k-k'k'k-k'k'k'k-k'k 



Rule-making Agency: Notice is hereby given in accordance 
with G.S. 66-58. IO(b> and G.S. 150B-21. 1(a2) that the Secretaty 
of State intends to adopt temporary rules to implement to 
provisions of the North Carolina Electronic Cotnmerce Act. 
.Article 11.4 of Chapter 66 of the North Carolina General 
Statutes. 

A public hearing for the purpose of receiving comments 
regarding proposed administrative rules under the North 
Carolina Electronic Commerce Act will be held on Tuesday. 
January 19. 1999. beginning at 9:00 a.m. The hearing will be 
in the auditorium ofMCNC. located at 3021 Cornwallis Road. 
Research Triangle Park. NC Directions to M(.'\C may be 
obtained by calling 919-248-1800. To help wnJi ichediiliiig. 
persons interested in speaking at the hearing are requested to 
contact Deputy Secretary of State Scott Templeton as soon as 
possible in advance of the hearing. Mr Templeton can be 
contacted at: stemplet amail.secstate.state.nc.us (preferred 
method) or at 919-733-5163. 



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TEMP0IL4RY RULES 



Rule Citation: 

.0402.. 0501 



IHNCAC lU.UlOl, .0201. .030I-.03U5. .0401- 



Authority for the rule-making: U.S. 66-5S 10 

Reason for Proposed Action: TIk purpose of these temporary 
rules is to enable admintstrution of the Eleetronic Commerce 
.4ct. G.S. 66-58.10 et sec/.. Piihliealion of the proposed 
temporary rules and a public hearini^ is required at least 30 
days prior to adoption of the rule pursuant to G.S. 150B- 
2i.l(a2. 

Comment Procedures: Persons interested in these rules may 
participate in the Secretary of State's Internet-linked rulemaking 
project. This site is accessible from the Department's homepage 
at wM'w.state.nc.us/secstate. Oral and written comments may 
also be submitted to Scott Templeton. Deput}- Secretary of State, 
North Carolina Department of the Secretaiy of State, PO Box 
29622. Raleigh. NC 2'7626-0525, phone (919) 733-5150. 

CHAPTER 10 - ELECTRONIC COMMERCE 
SECTION 

SECTION .0100 - GENERAL ADMINISTRATION 

.0101 HOW TO CONTACT THE ELECTRONIC 
COMMERCE SECTION 

The North Carolina Department of the Secretan, of State 
administers the Electronic Commerce Act. The Secretary of 
State has designated the Electronic Commerce Section to 
administer the Act. The Electronic Commerce Section may be 
contacted by the following means: 

(1) Electronic mail messages (email) are welcome, and 
are frequently the most efficient means of 
communicating with the Electronic Commerce 
Section. Email may be sent to: bgarner _£_ mail 
.sees tale state .nc .us or stemplet {£> mail, secstate. 
state, nc. us. 

(2) Regular mail may be sent to the Electronic Commerce 
Section at the following address: Electronic 
Commerce Section, Department of the Secretary of 
State. Post Office Box 29622. Raleigh, NC 27626- 
0525. 

(3) Up-to-date telephone and email information regarding 
the Electronic Commerce Section are contained on the 
Department of the Secretary of State's webpage at 
WW w.state.nc. us secstate. 

Suggestions regarding program administration are welcome. 
Suggestions for impro\ing electronic commerce in North 
Carolina, these Rules, the Electronic Commerce Section, and the 
Electronic Commerce Act are always yvelcome. Suggestions 
may be sent to the Electronic Commerce Section at the addresses 
given in this Rule. 

.Authority G.S. 66-58.10. 

SECTION .0200 - DEFINITIONS 



.0201 APPLICABLE DEFINITIONS 

In addition to the definitions in the Electronic Commerce Act. 
Article IIA of OS, 66 (G.S. 66-58.1 et seq.). the following 
a pply in these Rules: 

(1) "Asymmetric Crvptosystem" means a computer-based 
system that employs ruo different but mathematicalh 
related keys with the follov\ ing characteristics: 

(a) one key (called a private key ) encrypts a given 
message; 

(b) one key (called a public key ) deciApts a given 
message; and 

(c) the keys have the property that, knowing one 
key, it is computationally infeasible to discover 
the other key. 

(2) "Certificate" means a message which: 

(a) identifies the certification authority issuing it; 
names or identifies its subscriber; 



tbj 
tc] 
(dj 

ID 



contains the subscriber's public key; 

identifies its operational period; 

is digitally signed by the certification authority 

issuing it; and 

conforms to the ITU/ISO X.509 Version 3 

standards. 
(3) "Certification Practice Statement" means 
documentation of the practices, procedures and 
controls employed b\ a certification authority. 
"ITU/ISO X.509 Version 3 standards" means version 
three of the X.509 standards promulgated b\ the 
International Telecommunications Union and the 



til 

(ii 

t6J 
12J 
i8j 



International Standards Organization. 

"Key Pair" means a private key and jts corresponding 

public key in an asymmetric cryptosvstem. The keys 

have the propert\ that the public key can verify a 

digital signature that the private key creates. 

"Private Key" means the key of a key pair used to 

create a digital signature. 

"Public Key" means the key of a key pair used to 

verify a digital signature. 

"Public Ke\ Cryptography" m eans a type of 

cryptographic technology that employs an asymmetric 

cry ptosN stem. 



A uthority G. S. 66-58. lOiajdj. 

SECTION .0300 - LICENSING STANDARDS AND 
CERTIFICATION AUTHORITY TECHNOLOGIES 

.0301 LICENSING STANDARDS 

taj To be considered for licensure, a certification authority 
may utilize certificate-based public kev cryptography. 

(b) Any ap plicant seeking licensure must demonstrate 
compliance with the ITU ISO X.509 Version 3 standards in its 
Certification Practice Statement. 

(c) To request licensure, a certification authority shall provide 
the Electronic Commerce Section v\ith a copy of jts current 
Certification Practice Statement. The certification authorin 
shall also submit an unqualified performance audit performed by 



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1154 



TEMPOIL4RY RULES 



a Certified Public Accountant, in accordance with standards set 
in the American Institute of Certified Public Accountants 
(AiCPA) Statement on Auditing Standards No. 70 (SAS 70) 
"Reports oq the Processing of Service Transactions by Service 
Organizations" (1992). to evidence that the certification 
authority's practices and policies are consistent with the 
requirements of the certification authority's Certification Practice 
Statement and the requirements of these Rules. 

( 1 ) In order to be licensed, a certification authority that 
has been in operation for one year or less shall 
undergo a SAS 70 Type One audit : A Report of" 
Policies and Procedures Placed m Operation, 
receiving an unqualified opinion. 

(2) In order to be licensed, a certification authority that 
has been in operation for longer than one year shall 
undergo a SAS 70 Type Two audit - A Report of 
Policies and Procedures Placed in Operation and Test 
of Operating Effectiveness, receiving an unqualified 
opinion. 



A iithoht}' G. S. 66-58. 1 0(a) (2). 

.0302 LICENSING STANDARDS 
(RESERVED) 



BIOMETRICS 



A iithorin- G. S. 66-58. 1 Of a) (2). 

.0303 LICENSING STANDARDS - SIGNATURE 
DYNAMICS (RESERVED) 

A Iithorin- G.S. 66-58. 1 0(a) 1 2). 

.0304 ALTERNATE TECHNOLOGIES 

(a) Any person may petition the Electronic Commerce Section 
to consider a technology not currenth recognized under these 
Rules. Such petition shall be in the form of a written request 
that includes: 

(1) a detailed explanation of a proposed technology; 

(2) a discussion of how the technology complies with the 
substantive intent of the Electronic Commerce Act: 

(3) model rules for integrating the technology into these 
Rules. 

(b) The Electronic Commerce Section has 1 80 days from the 
date of the petition to review the petition and either accept or 
reject it. If the Electronic Commerce Section does not approve 
the request within 180 days, the petitioner's request shall be 
considered denied. 

(c) If the Electronic Commerce Section determines that the 
technology is acceptable for use under the Electronic Commerce 
Act, it shall incorporate the technology into these Rules pursuant 
to G.S. 150B-2l.l(a2). 

(d) If the proposed technology js rejected, the Electronic 
Commerce Section shall notify the petitioner jn writing. The 
petitioner may contest that agency decision pursuant to the 
contested case provisions of G.S. 1 SOB. 

Aulhorit)- G.S. 66-58. 10(a)(2). 



.0305 LICENSING FEES, BONDING AND RENEWAL 

(a) A certification authority shall pay an initial licensing fee 
in the sum of two thousand dollars ($2000). 

(b) A certification authority shall obtain a bond issued by a 
surety company authorized to do business in this State. A copy 
of the bond required by this Rule shall be filed with the 
Electronic Commerce Section prior to licensure. The amount of 
the bond shall be a minimum of one hundred thousand dollars 
($100.000) and shall be in favor of the State of North Carolina 
for any penalties assessed by the Electronic Commerce Section 
pursuant to these Rules and for the benefit of' any person who 
may have a cause of action against the certification authority for 
any losses resulting fi-om the certification authority's conduct of 
any and all activities subject to the Electronic Commerce Act or 
arising out of a violation of the Electronic Commerce act or any 
rule promulgated thereunder 

(c) A license issued by the Electronic Commerce Section 
pursuant to this Rule shall expire one year after its effective date 
unless timely renewed. 

(d) A licensee seeking renewal shall meet the conditions for 
initial licensure set forth above, except that the certification 
authority shall undergo a SAS 70 Type Two audit - a Report of 
Policies and Procedures Placed in Operation and Test of 
Operating Effectiveness, receiving an unqualified opinion. 
Request for license renewal shall be made not less than 30 days 
prior to expiration of tlie current license: An application for 
licensure renewal by a licensed certification authority shall be 
accompanied by a renewal fee of two thousand dollars ($2000). 

AuthorinG.S. 66-58.3: 66-58.10. 

SECTION .0400 - SANCTIONS AND ENFORCEMENT 

.0401 CIVIL SANCTIONS 

(a) If upon investigation, the Electronic Commerce Section 
finds that a certification authority has violated any provision of 
the Electronic Commerce Act or these Rules, or finds that the 
certification authority has had a license revoked or suspended in 
any other jurisdiction, the Electronic Commerce Section maN 
revoke or suspend any license issued under the Electronic 
Commerce Act and these Rules. The revocation or suspension 
may be in addition to any civil monetary penalty issued against 
the certification authority. 

(b) If upon investigation, the Electronic Commerce Section 
finds that a certification authority has violated any provision of 
the Electronic Commerce Act or these Rules, the Electronic 
Commerce Section may assess a civil monetary penalty of not 
more than five thousand dollars ($5.000) for each violation. The 
civil monetary penalty may be in addition to any revocation or 
suspension of ttie certification authority's license. 

(c) Adjustment factors. In determining the lengdi of any 
suspension or amount of any civil ijipnetai'y geiialty. ihc 
Secretary shall consider: 

( 1) The organizational size of thie certification authority 
cited for violating the provisions of the Electronic 
Commerce Act; 

(2) The good faith of tlie certification authority cited, 
including but not limited to any procedures or 



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ID 



ill 



processes implemented by the violator to prevent the 

violation from recurring; 

The gravity of the violation; 

The prior record of the violator in complying or 

failing to compK with the Electronic Commerce Act 

or these Rules; and 

The risk of harm caused by the violation. 

(d) Continuing Violations. After the receipt of notice of a 
violation, if any certification authority willfulK continues to 
violate by action or inaction the Electronic Commerce Act or 
these Rules, each da\ the violation continues or is repeated mav 
be considered a separate violation. 

(e) Civil Sanction Notification. When the Electronic 
Commerce Section determines that a civil sanction should be 
assessed, the Electronic Commerce Section shall notify the 
certification authority by certified mail of the following: 

( I) The nature of the violation; 



in 
in 



The civil sanction imposed; 

That the civil sanction will become final unless within 



15 days after receiving notice of the violation the 
certification authority either: 

(A) takes exception to the civil sanction assessment 
by filing a contested case petition with the 
Office of Administrative Hearings; or 

(B) submits a written request for the reduction of 
the sanction; and 

(4) The procedure for taking exception to the violation or 
seeking the reduction of the sanction. 

(f) Civil Sanction Finality. The certification authority must 
file a contested case petition pursuant to G.S. 150B-23 or submit 
a written request for the reduction of the sanction within 15 days 
of receipt of the notice of the civil sanction assessment or the 
assessment will become final. 

(g) Request for Reduction of Civil Sanction. 

( I ) An\ request for reduction ot" a civil sanction shall be 
submitted to the Electronic Commerce Section in 



notice or the sanction assessed shall be final. 

(4) If the reduction request does not raise issues of fact or 

questions of law, the Electronic Commerce Section 

shall determine jf the assessed sanction is to be 

reduced, and shall notify the certification authority of 

its decision in writing by certified or registered mail. 

In tfie event the Electronic Commerce Section denies 

the reduction request, or grants the reduction request 

in an amount believed to be unreasonable by the 

certification authority, the certification authority must 

file a contested case petition \yith the Office of 

Administrative Hearings within 1 5 day s of receipt of 

notice of the Electronic Commerce Section's decision. 

or the decision shall become the final decision. 

(h) Payment. Any civil monetary penalty shall be due within 

60 days of the date of the initial assessment of the penalty. 

except that if the certification authority files a contested case 

petition pursuant to G.S. 1508-23 or submits a written request 

for reduction of the penalty, the penalty shall be due within 60 

days of the date of the final decision. The penalty shall be paid 

with cash or certified funds by personal delivery or certified mail 

to thie Electronic Commerce Section. In the event the 

certification authority fails to pay the penalty assessed within the 

time periods set forth in tliis Rule, the Electronic Commerce 

Section may collect the amount of thie penalty from the bond 

required by these Rules. 

Authority G.S. 66-5H.6: 66-58. 10. 

.0402 CRIMINAL PENALTIES AND INJUNCTIVE 
RELIEF 

The Department of tlie Secretary of State shall haye the 
authority to pursue criminal penalties for \iolations of the 
Electronic Commerce Act, pursuant to G.S. 66-58.8. or 
injunctive relief, as allowed under G.S. 66-58.6. 



writing and must include a written statement .Authorit}- G.S. 66-58.6: 66-58. H: 66-5H. 10. 
supporting the reduction request. Requests for 
reduction of a sanction are solely for the purpose of 
allowing the certification authority to contest the 
reasonableness of the civ il sanction. The certification 



t2J 



authority should not attempt to contest facts or raise 

questions of jaw in tlie request for reduction of the 

sanction. 

The Electronic Commerce Section shall determine if 

the assessed sanction is to be reduced pursuant to a 

reduction request and shall notify the certification 

authority of its decision in writing. 

If the Electronic Commerce Section determines that 



ID Ifthe 



the reduction request raises issues of fact or questions 
of law, the Electronic Commerce Section may refuse 
to consider the reduction request, and shall notifs the 
certification authority by certified or registered mail 
that it must file a contested case petition with the 
Office of Administrative Hearings in order to presen e 
its claim. The certification authority must file a 
contested case petition with the Office of 
Administrative Hearings within 15 days of receipt of 



SECTION .0500 - RECIPROCITY 

.0501 RECIPROCAL AGREEMENTS AND 
LICENSURE BY RECIPROCITY 

(a) The Electronic Commerce Section may enter into 
reciprocal licensing agreements with other jurisdictions that have 
adopted electronic commerce laws similar to the Electronic 
Commerce Act. 

(b) Certification authorities licensed bv other jurisdictions 
may seek licensure by reciprocity \\\x\\ the North Carolina 
Electronic Commerce Section, prov ided that the jurisdiction in 
which the certification authority is already licensed has a 
reciprocal agreement in effect with the Electronic Commerce 
Section. 

(c) To seek reciprocal licensure in North Carolina, 
certification authorities that have been licensed by other 
jurisdictions with which the Electronic Commerce Section has 
entered reciprocal a greements must do the follow ing: 

( 1) Pay the licensing fee as described in these Rules; 

(2) Furnish the Electronic Commerce Section with 



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evidence of licensure in good standing from the other 
licensing jurisdiction; 

(3) Provide the Electronic Commerce Section with a full 
copy of the licensing application that led to the 
certification authority becoming licensed jn the 
reciprocal jurisdiction, including any amendments 
thereto; 

(4) Provide information on any disciplinary action or 
criminal proceeding arising from or related to the 
certification authority's license or activities as a 
certification authority; 

(5) Provide a complete history of licensure in other 
jurisdictions, whether continuous or disrupted, and if 
disrupted the length of tlie disruption and basis 
therefore; and 

(6) Submit any additional information as required by the 
Electronic Commerce Section. 

(d) The Electronic Commerce Section shall have the power to 
impose civil sanction against a reciprocal licensee on the same 
basis that the Electronic Commerce Section can impose civil 
sanction against a certification authority license otherwise 
issued, or upon finding that the certification authority has had a 
license revoked or suspended in another jurisdiction. 

(e) Any certification authority that obtains a reciprocal license 
under these Rules shall be obligated to inform the Electronic 
Commerce Section in writing of any civil or criminal proceeding 
that arises from or relates to the certification authorit\ 's license 
or any disciplinary action commenced against the certification 
authority in any other jurisdiction within 10 days of notice of the 
proceeding or action. 

Aiithorit}' G.S. 66-58.3: 66-58.6: 66-58.7: 66-58.8: 66-58.10: 
66-58. 11. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER 14 - BOARD OF COSMETIC ART 
EXAMINERS 

Rule-making Agency: N.C. State Board of Cosmetic Art 
Examiners 

Rule Citation: 21 NC.4C 14A .0101. .0105: 14G .0103: 141 
.our: 14J.0103: 14K.0102. .010': 14L .0105. .0109. .0216: 
14N .0103:0104. .0110. .0113. .0601-.0602. .0701-.0702: 140 
.OlOl-.OlO^: 14P.0I01-.0116 

Effective Date: January 1. 1999 

Findings Reviewed and Approved by: Beecher R. Gray 

Authority for the rule-making: G.S. 88B 

Reason for Proposed Action: These changes are a result of 
the ratification of Senate Bill 916 which affects the Rules 
governing the licensing of Estheticians. Manicurists, and civil 



penalties. 

Comment Procedures: Written comments concerning this rule 
making action must be submitted to Dee Williams, Rule-Making 
Coordinator N.C. State Board of Cosmetic Art Examiners, 
1201-110 Front Street, Raleigh. NC 27609. 

SUBCHAPTER 14A - DEPARTMENTAL RULES 

SECTION .0100 - ORGANIZATIONAL RULES 

.0101 DEFINITIONS 

The following definitions apply in this Chapter: 

( 1 ) "Beauty Establishment" refers to both cosmetic art 
schools and cosmetic art shops. 

(2) "Board" refers to the North Carolina State Board of 
Cosmetic Art Examiners. 

(3) "Cosmetic Art School" refers to any place where 
cosmetic art. as defined by G.S. 88B-2. or methods of 
teaching cosmetic art are taught for purposes of 
licensing by the Board regardless of the title of the 
school or program. 

(4) "Cosmetic Art Shop" refers to any building, or part 
thereof, wherein cosmetic art. as defined by G.S. 88B- 
2. is practiced, other than a cosmetic art school. 

(5) "Cosmetology School" is any cosmetic art school 
which teaches cosmetology as defined by G.S. 88B-2. 
but is not a manicurist school. 

(6) "Cosmetology Student" is a student in any cosmetic 
art school with the exception of a manicurist student. 

(7) "Cosmetology Teacher is any teacher who is licensed 
by the Board to teach the cosmetic arts. 

(8) "Manicuring" is that set of cosmetic arts related to the 
nails, hands, arms and feet. It includes traditional 
manicuring, pedicuring, arm and hand massages, and 
all types of artificial nails. 

(9) "Manicurist School" is a cosmetic art school which 
teaches only the cosmetic arts of manicuring. 

(10) "Manicurist Student" is a student in any cosmetic art 
school whose study is limited to the manicurist 
curriculum set forth in 21 NCAC 14K .0102. 

(11) "Manicurist Teacher" is a teacher who is licensed by 
the Board to teach only the manicuring curriculum. 

(12) "Booth" is a work station within a cosmetic art shop 
which is used primarily by one cosmetologist or 
manicurist in performing cosmetic art services for 
their clientele. 
"Esthetician School" is any cosmetic art school which 



OH 

(14) 



teaches only the cosmetic arts of skin care. 
"Esthetician Student" is a student in any c osmetic art 
school whose study is limited to tlie e_sthetician 
curriculum set forth in H NCAC L40 JM 02, 
(15) "Esthetician Teacher" is a teacher who is licens ed by 
the Board to teach only the esthetician curriculum. 



History Note: .Authority G.S. 

Eff. Fehruaiy 1, 1976: 

Amended Eff. June 1. 1993: October 1. 1991: May 1. 1991: 



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.kmtiury 1. 1989: 

Tempo ran' Amendment Eff. Jaiiuan' L. 1999. 

.0105 PURPOSE AND RESPONSIBILITY 

The purpose and responsibilities of the board are as follows: 

( 1 ) to examine individuals to determine if they meet the 
qualifications necessar\ to receive a certificate of 
registration as an apprentice, a cosmetologist, an 
esthetician . a manicurist, or a cosmetology teacher. 
manicurist teacher, or an esthetician teacher: 

(2) to grant certificates b\ reciprocity to qualified 
cosmetologists, apprentices, manicurists, estheticians , 
and teachers from other states; 

(3) to regulate the practice of cosmetolag\: 

(4) to collect the statutory fees required for qualification 
as an apprentice, a cosmetologist, a manicurist, an 
esthetician. er a cosmetology teacher, a manicurist 
teacher, or ao esthetician teacher, and to collect the 
statutory fees required to register a beauty salon; 

(5) to renew the certificates of every qualified registered 
apprentice, er manicurist or esthetician annually; 

(6) to renew the certificates of every qualified registered 
cosmetologist every three years; 

(7) to keep records of all proceedings relating to the 
registration of cosmetologists, apprentices, 
manicurists, estheticians. and cosmetology teacher. 
manicurist teacher, and esthetician teacher; 

(8) to determine if salons meet qualifications to receive a 
certificate of registration; 

(9) to determine if beauty salons meet qualifications to 
receive a certificate of approval; 

(10) to inspect beauty salons and cosmetologN schools 
periodically; and 

(11) to hold annual seminars for apprentices, 
cosmetologists, estheticians. manicurists, cosmetology 
teachers, manicurists teachers and esthetician teachers 
and manicurist s instruct these licensees in new 
techniques and new information on the chemistry of 
cosmetics. 



Rule, the da\ and night classes shall be counted as separate 
enrollments. As an exception, a school may have a recitation 
room located in an adjacent building or another building u ithin 
500 feet of the main cosmetolog\ building. 

(b) In addition each cosmetology school must have no less 
than 20 hairdressing stations, arranged to accommodate not less 
than 20 students and arranged so that the course of stud\ and 
training cosmetology, as prescribed b\ the Board. ma\ be gi\en. 
All stations must be numbered numerically. 

(c) Cosmetology schools must also have a beginner 
department containing sufficient space to comfortably 
accommodate at least ten students and having at least 40 inches 
between mannequins. 

(d) The Board will issue a letter of approval onK to 
manicurist schools that have at least 1 .000 square feet of inside 
floor space located within the same building. 

(e) Manicurist schools vsith 1.000 square feet of inside floor 
space shall enroll no more than 20 students at one time, and for 
each student enrolled in addition to 20 students, 50 square feet 
of inside floor space must be provided. 

(f) In addition, manicurist schools must have ten manicurist 
tables and chairs a minimum of two feet apart, side to side, 
arranged to comfortably accommodate ten students. 

(g) The Board will issue a letter of approval only to 
esthetician schools that have at least 1,500 square feet of inside 
floor space located within the same building. 

(h) Esthetician schools with 1,500 square feet of inside floor 
space shall enroll no more than 20 students at one time, and for 
each student enrolled in addition to 20 students. 50 square feet 
of inside floor space must be provided. 

History- Note: Authority- G.S. 88B-4: 

Eff. February I. 1976: 

Amended Eff. April 1. 1995: January 1 . 1992: .May I. 1991: 

Januaiy 1. 1989: 

Temporary .Amendment Eff. January [^ 1999. 

SUBCHAPTER 141 - OPERATIONS OF SCHOOLS OF 
COSMETIC ART 



History Note: Authority (J.S. 88B-2: 88B-13: 88B-2U: 88B- 

21: 

Eff February 1. 19" 6: 

Amended Eff Januaiy 1. 1989: April 1. 1988: 

Temporary .Amendment Eff January- 1_^ 1999. 

SUBCHAPTER 14G - REQUIREMENTS FOR THE 
ESTABLISHMENT OF COSMETIC ART SCHOOLS 

.0103 SPACE REQUIREMENTS 

(a) The Cosmetic Art Board will issue letters of approval only 
to cosmetologN schools that have at least 2800 square feet of 
inside floor space for 20 stations or 4200 square feet of inside 
floor space for 30 stations located within the same building An 
additional 140 square feet of floor space will be required for 
each station above 20 stations, up to and including a total of 30 
stations. Thereafter, an additional 40 square feet will be required 
for each station in excess of 30 stations. For purpose of this 



SECTION .0100 - RECORD KEEPING 

.0107 REPORT OF ENROLLMENT 

(a) A cosmetic art school shall report cosmetology 
enrollments to the Board not later than 30 working days after a 
student enrolls in school. A cosmetic art school shall report 
manicurist enrollments to the Board not later than 15 working 
days after a student enrolls in school. If a student's enrollment 
is not reported vsithin 30 working da> s for cosmetology and 1 5 
working days for manicurist and estheticians , the cosmetic art 
school shall file a copy of the student's daily time records when 
it reports the student's enrollment. 

(b) A student whose enrollment has not been properK 
reported to the Board will not be accepted for either the 
cosmetology examination or the manicurist and no hours w ill be 
credited. 

(c) The North Carolina State Board of Cosmetic Art 
Examiners" Statement of Purpose for Cosmetic .Art Education 



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shall be given to each student at the time of enrollment. An 
acknowledgment of receipt of this shall be signed by the student 
and kept by the cosmetic art school with the permanent records 
of the student. 

History- Note: Authority' G.S. 88B-4; 88B-9; 

Effi February- 1. 19'76: 

Amended Eff. August I. 1998: April I 1991: January 1. 1989: 

April I. 1988: 

Temporan- Amendment Eff. Januarv j^ 1999. 

SUBCHAPTER 14J - COSMETOLOGY CURRICULUM 

SECTION .0100- BEGINNERS' DEPARTMENT 

.0103 TIME REQUIREMENTS ACCORDING TO 
HOURS 

(a) The maximum time a student can earn in a cosmetology 
school in any one day is eight clock hours. The maximum time 
a student can earn in a cosmetology school in any one week is 40 
clock hours. 

(b) Hours earned on one day cannot be credited to another 
day. 

(c) Each student must complete 1200 hours in a cosmetology 
school before applying to the Board for the cosmetologist's 
examination, except those students enrolled for the manicurist or 
esthetician course only. 

(d) Each student must spend 300 hours in the beginner 
department before entering the advanced department and may 
not work on members of the public during this 300 hours except 
shampoo and scalp manipulations. 

(e) Hours earned in the beginner department must be devoted 
to scientific stud> and mannequin practice as outlined in 21 
NCAC 14J .0104 and .0105. 

(f) Manicuring practice in the beginner department must be 
done during the first 300 hours of instruction and shall be done 
on the students enrolled in the cosmetology school. 

History- Note: .Authority- G.S. 88B-9: 

Eff. Februaiy 1. 1976: 

Amended Eff. February- 1. 1995: Jamiay 1. 1989: .4pril 1. 1988: 

Temporan .Amendment Eff Januan f 1999. 

SUBCHAPTER 14K - MANICURIST CURRICULUM 

.0102 COURSE OF STUDY 

(a) Pursuant to G.S. 88 30 I 88-10. an applicant for 
registration as a manicurist must have completed 440 300 hours 
in classes in a cosmetic art school approved b\ the Board. 

(b) The 440 300 hours in classes must include at least^^O 
260 hours of "classroom work" as described in Paragraph d and 
at least 30 40 hours of supervised "live model performances" as 
set forth in 2 1 NCAC 1 4K . 007(a) .0107(a ). 

(c) The following amount of classroom work is required by 
the Board before taking the manicurist examination: 

( 1 ) 44 30 hours in manicuring, including trimming, filing, 
shaping, decorating, and arm and hand massage; 

(2) 70 140 hours in sculptured and other artificial nails; 



(3) 4 iO hours in pedicuring; 

(4) 40 20 hours in theory and salesmanship as it relates to 
manicuring; 

(5) 44 30 hours in the procedures and methods of 
sanitation, including the study of the Federal 
Environmental Protection Agency's disinfectant 
guidelines and the recommendations on the Material 
Safety Data Sheets prepared by the manufactures on 
all products used by the school's students in the live 
model performance set fonh in 21 NCAC 14 K 
.0007(a) .0107(a). 

(6) 44 30 hours in the study of bacteriology including 
communicable diseases and the requirements of The 
Pure Food and Drug Law for creams and lotions. 

(d) Classroom work includes lectures on the subject as well 
as demonstrations, questions and answers on textbooks, written 
examinations, and in-class practice of procedures and methods 
but not live model performances as described by 21 NCAC 14K 
.0007(b) .0107(b). 

History- Note: A uthority G. S. 88B-4: 88 B- 1 0: 

Eff. February 1 . 1976: 

Amended Eff. December 1. 1990: Januan- 1. 1989: .April 1, 

1988: 

Temporan Amendment Eff Januan L_ 1999. 

.0107 LIVE MODEL PERFORMANCES 

(a) In completing the 30 40 hours of live model performances 
required by 21 NCTAC 14k .0002(b ) .0102(b). all manicurist 
students shall complete the following minimum number of live 
model performances during the manicurist course under the 
supervision of a registered cosmetic art teacher before taking the 
manicurist examination: 

(1) 50 15 manicures, including trimming, filing, and 
shaping; decorating; and arm and hand massage; 

(2) 34 100 applications or repair of sculptured or other 
artificial nails; and 

(3) 3 4 pedicures. 

(b) No manicurist student may perform any live model 
performances until he or she has completed 16 hours of 
classroom work, as defined in 2 1 NCAC 1 4K .0002(d) .0102(d). 
including at least four hours of bacteriologv and four hours of 
the procedures and methods of sanitation. 

(c) Live model performances are the rendering of the required 
service on a live person other than himself or herself The\ do 
not include performing the service on a mannequin. 

Histofy Note: A uthority G. S. 88B-4: 88 B- 1 0: 
Eff. July I. 1990: 

.Amended Eff. .April 1 . 1991 : December 1. 1990: 
Temporan Amendment Eff January E 1999. 

SUBCHAPTER 14L - COSMETIC ART TEACHERS 

SECTION .0100 - TEACHER QUALIFICATIONS AND 
EXAMINATIONS 

.0105 QUALIFICATIONS - MANICURIST 



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TEACHERS 

(a) To be a manicurist teacher, an applicant must: 

(1) have a high school diploma or a high school 
graduation equivalency certificate; 

(2) be a registered manicurist or cosmetologist in this 
State; 

(3) have either: 

(A) practiced manicuring in a cosmetic art shop for 
a period equivalent to iWe two years of full- 
time work; or 

(B) completed a 320-hour teacher as training 
course in manicuring in an approved cosmetic 
art school; and 

(C) pass the manicurist teacher's examination. 
Applicants who are registered manicurists in good standing in 
this State and who were regularly employed in a school in this 
State as a teacher of manicuring before Januan. 1, 1991, ma\ 
substitute the equivalent of three years of full-time teaching in 
lieu of the requirements of Paragraph (a)(3) of this Rule if they 
apply for a license as a manicurist teacher on or before January 
1, 1993. 

Histon- Note: Authorin- G S. 88B-4: 88B-II: 
Eff. April }. 1991: 

Amended Eff August 3. 1992: March 2. 1992: 
Temporary' Amendment Eff. JanuaiT A 1999. 

.0109 QUALIFICATIONS - ESTHETICIAN 
TEACHERS 

To be an esthetician teacher, an applicant must: 
( 1 ) have a high school diploma or a hit;h school 
graduation equivalency certificate; 
be a registered esthetician or cosmetologist in this 
State; 






have either: 

(a) practiced skin care in a cosmetic art sho p for a 
period equivalent to three years of full time 
work; or 

(b) completed a 650 hour teacher training course in 
skin care in an approved cosmetic art school; 
and 

(c) pass the esthetician teacher's examination . 



Histoiy \ote: A uthonty G. S. 8SB-4: 888- 1 1 : 
Temporary Adopted Eff Januan' L. 1999. 

.0216 TEACHER TRAINING CURRICULUM 

(a) To meet the approval of the Board, a cosmetologist 
teacher training course must consist of at least 800 hours of 
instruction in theory and practical application, divided as 
follows: 

( 1 ) One hundred fifty hours of instruction on methods of 
teaching and the laws governing cosmetology, to 
include the following topics: 

(A) instruction in teaching techniques; 

(B) instruction in preparing lesson plans; 

(C) instruction in preparing class lectures and 
presentations; 



(D) instruction in preparing examinations; and 

(E) G.S. 88 B and the Rules of the Board. 

(2) Six hundred fifty hours of practice teaching, to 
include the following: 

(A) conducting theory classes from prepared lesson 
plans; 

(B) preparing and giving examinations; and 

(C) giving practical demonstrations. 

(b) To meet the approval of the Board, a manicurist teacher 
training course must consist of at least 320 hours of instruction 
in theory and practical application, div ided as follows: 

(1) One hundred and fifteen hours of instruction on 
methods of teaching and the laws governing 
manicuring, to include the following topics: 

(A) instruction in teaching techniques; 

(B) instruction in preparing lesson plans; 

(C) instruction in preparing class lectures and 
presentations; 

(D) instruction in preparing examinations; 

(E) instruction in chemical usage; and 

(F) G.S. 88 B and the Rules of the Board. 

(2) Two hundred and five hours of practice teaching, to 
include the following; 

(A) conducting theory classes from prepared lesson 
plans; 

(B) preparing and giving examinations; and 

(C) giving practical demonstrations. 

(c) To meet the approval of the Board, a esthetician teacher 
training course must consist of at least 650 hours of instruction 
in theory and practical application, divided as follows: 

( 1 ) One hundred and twenty hours of instruction on 
methods ot' teaching and the laws Kovemintz skin care 
to include the follovvint; topics: 

(A) instruction in teaching techniques; 

(B) instruction in preparing lesson plans; 

(C) instruction in preparing class lectures and 
presentations; 

(D) instruction in preparing examinations; 

(E) instruction in chemical usage; and 
to G.S. 88 B and the rules of the Board. 

(2) Five hundred and thirty hours of practice leaching, to 
include the following: 

(A) conducting theory classes from prepared lesson 
plans; 

(B) preparing and giving examinations; and 

(C) giving practical demonstration. 

Hisloiy Sote: A uthonty G. S. 8SB-4: 88 B- 1 1 : 

Eff .April 1. 1991: 

.Amended Eff March 2. 1992: 

Temporaiy Amendment Eff Januan' f^ 1999. 

SUBCHAPTER 14N - EXAMIN.ATIONS 

SECTION .0100 - GENERAL PROV ISIONS 

.0103 GENERAL EXAMINATION INSTRUCTIONS 

All candidates scheduled for an examination are required to 



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bring: 

( 1 ) their social security number. 

(2) a form of identification with a current picture. 

(3) a kit containing all supplies necessarv' to perform all 
services required by the examination, 

(4) a No. 2 pencil, and 

(5) the examination notification. 

(b) Candidates for the cosmetologist examination shall bring 
either a live model or mannequin that conforms with applicable 
requirements set forth in 21 NCAC 14N.0104 and .0105. 

(c) Candidates for the cosmetologist teacher examination 
shall bring-either four live models or four mannequins that 
conform with the applicable requirements set forth in 2 1 NCAC 
14N .0104 and .0105: however, each candidate must provide a 
live model for the manicurist portion of the examination. These 
live models or mannequins shall be suitable for demonstrating 
the full range of services required by the cosmetology 
curriculum. 

(d) Candidates for the manicurist or manicurist teacher 
examination shall bring a live model. 

(e) Candidates for the esthetician or esthetician teachers 
examination shall bring a live model. 

(^(jQ Candidates will not be accepted after roll call. 

ff Hg) No candidates will be allowed to bring book, 
calculators, papers, or reference materials of any kind into the 
testing room, except as provided in Paragraph (g) (cj of this 
Rule. 

f^(h) Cosmetology teacher bb4-. manicurist teacher and 
esthetician teacher candidates may use visual aids, prepared in 
advance, during the practical examination. During the lesson 
planning part of the examination, only a text book brought by 
that candidate ma\ be used. 

History Note: A uthority 88B-4: 88B- 7; 88B-9: 88 B- 1 0: 88 B- 

11: 

Eff.Junel. 1992: 

Temporan- Amendment Eff. Januan L 1999. 

.0104 LIVE MODEL REQUIREMENTS 

(a) If. a cosmetologv' teacher candidate has chosen to bring a 
live model for the examination: the model must: 

( 1 ) be at least 1 8 years old: 

(2) submit to all cosmetic art services required b> the 
examination, and 

(3) agree to a haircut of at least one to one and one-half 
inches during the examination. Hair must be of 
sufficient length to perform requirements after 
cutting. Prior to the examination, the model's hair 
must have alread\ been shampooed, set and dried. 

(b) A model brought by a candidate for the manicurist or 
manicurist teacher examination, pursuant to 21 NCAC 14N 
.0103(d) shall: 

( 1 ) be at least 1 8 \ ears old. 

(2) submit to all cosmetic art services required by 
examination. 

(c) A model brought by a candidate for the esthetician or 
esthetician teachers examination pursuant to 21 NCAC 14N 
.0103(e) shall: 



LJQ be 1 8 years old. 

(2) submit to all operations of esthetics. 

fe) (d) Cosmetic art school or shop owners, registered 
cosmetologists or apprentice cosmetologists, manicurists, 
estheticians, cosmetology, ©r manicurist, or esthetician. 
teachers, salon operators, and present or former cosmetologv' or 
manicurist students e xc e pt as provid e d in Rul e .0105 c) of this 
S e ction, may not sit as models. 

fd^ (ej No model may sit for more than one candidate at one 
exam. 

History Note: A uthority G. S. 88B-4: 88 B- 1 1 : 

Eff. June 1. 1992: 

Temporar\- Amendment Eff. January- 1, 1999. 

.0110 PASSING GRADES FOR EXAMINATION 

Candidates will make the following grades on both the 
practical and theor> sections of the examination: 

(1) For licensure as a registered cosmetologist. 75 
percent: 

(2) For licensure as an apprentice cosmetologist. 70 
percent: 

(3) for licensure as a cosmetology' teacher . 85 percent: 

(4) For licensure as a manicurist teacher. 85 percent: 

(5) For licensure as a manicurist, 75 p e rc e nt, percent: 

(6) For licensure as a registered esthetician. 75 percent: 
and 

(7) For licensure as a esthetician teacher. 85 percent. 



Histoid Note: Authority G.S. 88B-4: 88B-7(2): 88B-8(2): 
88B-9(2): 88B-10(2): 88B-llfb)(3): 88B-1 1(c)(3): 88B-ll(d)(3): 
Eff. June 1. 1992: 
Temporaiy .Amendment Eff. Ja nuan L 1999. 

0113 RE-EXAMINATION 

(a) If. upon application for re-examination, the applicant has 
taken and passed one section of an examination, he or she shall 
apply for re-examination only on the section of the examination 
which he or she did not pass. 

(b) Applicants for re-examination must appK for re- 
examination in writing and pay the appropriate examination fee. 

(c) Notwithstanding any other provision of these Rules, 
pursuant to G.S. 88 1 4 ( 4 ). 88B-18. a cosmetolog). manicurist, 
esthetician or apprentice candidate or oth e r candidat e who has 
failed either section of the examination five three times, is 
required to complete an additional 200 hours of study at an 
approved cosmetic art school before another application for re- 
examination ma\ be accepted b\ the Board. 

(d) Any candidate for the cosmetolog> teacher examination, 
©r manicurist teacher examination, or esthet ician teacher 
examination , who fails the examination twice. nia> request an 
examination review. The candidate must complete no less tlian 
200 hours in a teacher training course designed to address the 
candidate's deficiencies before taking the examination again. 

(e) Upon written request by any candidate, the Board shall 
release a summarN of the results of each category of the practical 
section of the most recent examination to the school in which the 
candidate is enrolled for the additional study, pursuant to G.S. 



1161 



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13:14 



TEMPOJL4R Y RULES 



88 16(1) 88B-18 or Paragraph (d) of this Rule. 

(f) The school in which the student has enrolled pursuant to 
G.S. 88B-16(4) shall design a course of study for that student in 
order to correct the student's deficiencies. The course of study 
must be submitted to the Board for approval. 

(g) A candidate for licensure as an apprentice cosmetologist 
who 

( 1 ) passes the examination with a score of 75 percent or 
more on both sections: and 

(2) subsequently completes an additional 300 hours 
within one year of the e.xamination date ma\ be 
licensed as a cosmetologist under G.S. 88 12 88B-7 
without retaking the examination. 



The practical section of the esthetician teacher's examination 
shall require the candidate to perform procedures which will test 
the basic knowledge and skills of teaching techniques. 

History Note: A uthority G. S. 88B-4: 88 B- 1 1 : 
Temporary Adoption Eff Januan,- ]_^ 1999. 

SUBCHAPTER 140 - ESTHETICIAN CURRICULUM 

.0101 UNIFORMS 

All students jn training as an esthetician shall wear a clean, 
white, washable uniform or white professional attire, nametag 
identify ing academic status, and clean, solid white shoes. 



History Note: Authority U.S. 88B-4: 888- 18; 

Eff. June 1. 1992: 

Amended Eff June 1. 1993: 

Temporan' Amendment Eff. January ]_^ 1999. 

SECTION .0600 - ESTHETICIAN EXAMINATION 

.0601 EXAMINATION THEORY SECTION 

(a) The theory section of the esthetician examination shall 
include the national theors examination of the National Interstate 
Council of State Board of Cosmetology which covers all phases 
of esthetices. 

(b) The candidate shall have two hours to complete the theory 
section of the esthetician examination. 

Histoty Note: Authority G.S. 88B-4: 883-18; 
Temporary Adoption Eff. January- I, 1999. 

.0602 EXAMINATION PRACTICAL SECTION 

The practical section of the esthetics examination shall require 
the candidate to perform procedures which will test the basic 
know ledge and skills necessary to practice as an esthetician and 
shall be related to the curriculum required by the Board to be 
taught in an approved cosmetic art school to esthetician students. 

History Note: Autliority G.S. 88B-4: 8HB-1H: 
Temporary Adoption Eff January 1^ 1999. 

SECTION .0700 - ESTHETICIAN TEACHER 
EXAMINATION 

.0701 EXAMINATION THEORY SECTION 

(a) The theor\ section of' the esthetician teach er examination 
shall include the national theop> examination ot' the National 
Interstate Council of State Boards of Cosmetolog\ which will 
include lesson plans, teaching techniques, teaching aids, testing- 
classroom management, and student motivation. 

(b) The candidate shall have two hours to complete the theory 
section of the examination. 

History Note: A ulhority G. S. 88B-4: 88 B- 1 1 : 
Temporary Adoption Eff January f 1999. 



History Note: Authority G.S. 88B-4; 
Temporary .Adoption Eff Januaty 1_^ 1999. 

.0102 COURSE OF STUDY 

(a) Pursuant to G.S. 88B-9( 1 ). an ap plicant for registration as 
an esthetician must have completed 600 hours ]n classes in a 
cosmetic art school approved by the Board. 

(b) The following course outline js required by the Board 
before taking the esthetician examination: 

(1) orientation: 

anatomy physiology: 

hygiene sterilization/first aid: 

chemistry: 

client consultation: 



(2] 

(4] 



facial/body treatment (cleansing, massage, masks, 
etc.): 

(7) hair removal: 

(8) basic dermatology: 

(9) machines, electricity, apparatus: 

(10) aromatherapy: 

(11) nutrition: 

(12) business management: 

(13) make-up/color analysis: 

(14) professional ethics. 

History Note: Author it}- G.S. 88 B- 4; 
Temporary .Adoption Eff January f^ 1999. 

.0103 EQUIPMENT AND INSTRUMENTS 

(a) An Esthetician school shall be equipped yyith the 
following minimum equipment: 

( I ) 3 facial treatment chairs, treatment tables, or hydraulic 
treatment chairs: 
3 esthetician's stools: 
1 facial vaporizer: 
1 gahanic current apparatus: 
1 infra-red lamp: 
1 yyoods lamp: 

1 footed magnifying lamp or magnifSing lamp that 
attaches to the yvall; 






.0702 



EXAMINATION PRACTICAL SECTION 



(8) I hair removal y\ax sy stem: 

(9) 1 thennal yvax system: 

( 10) I suction machine: 

(11) i exfoliation (brushes): 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1162 



TEMPOHA RY RULES 



( 12) table for machines; 

(13) lavatory with hot and cold running water in the 
treatment area. 

(b) All equipment shall be maintained in a sanitary, safe 
operating order at all times. 

(c) The minimum requirement for a school of cosmetology 
desiring to include a department of esthetics in its training 
program shall be at least one of each item specified for a school 
of esthetics. 

(d) Each student shall be supplied with: 
(1 ) cape; 

spatulas; 

astringents; 

tweezers; 

cotton pads; 

make up supplies; 

sponges; 

all purpose cream; 

fumigant . 



(5} 
t6J 
12] 
£8] 
£9] 



Hislo)y Note: Authority- G.S. 88B-4: 
Temporan' Adoption Efj^ January L. J 999. 



Temporary' Adoption Eff. Januar\' ]_^ 1999. 

.0107 SANITATION 

(a) All creams, lotions, and other cosmetics used on patrons 
must be kept in clean and closed containers. 

(b) All powder used on patrons must be kept in a clean shaker 
or may be applied by means of cotton or other sanitized 
application. 

(c) Creams and other semi-solid substances must be removed 
from the container with a sanitized spatula or other article. The 
use of fingers for removing creams, etc. is prohibited. 

(d) Lotions or fluids shall be poured into a sanitized glass or 
other containers and shall be applied to the patron by means of 
cotton or sanitized applicator. Any excess remaining after 
application shall neither be returned to the original container nor 
applied to another patron, but shall be discarded immediately. 

(e) Creams, lotions, powder and other cosmetics shall be 
removed by means of cotton, gauze, pledgets, soft absorbent 
paper, or other sanitized material. 

(jQ Eyebrow pencils must be sharpened after being used on a 
patron, 
(g) The use of cake mascara is prohibited. 



.0104 SERVICES PERFORMED 

No student enrolled m a course for esthetics only, shall 
perform any services m the cosmetology school except those 
directh related to the prescribed course in esthetics. 



History- Note: Authority- G.S. 88B-4: 
Temporan- Adoption Eff. January 1, 1999. 



SUBCHAPTER 14P - ESTHETICIAN LICENSE 



History- Note: Authority G.S. 88B-23: 
Temporan- Adoption Eff Januan- i^ 1999. 

.0105 IDENTIFICATION PINS 

Each student enrolled for an esthetics course only shall wear 
a gin stating "Esthetics Only." The lettering on a grn must be 
easily read and in large print. 
Histon- Note: A uthoriry- G. S 88B-4: 
Temporan- Adoption Eff. Januan- L. 1999. 

.0106 LIVE MODEL PERFORMANCES 

(a) All esthetician students shall complete the following 
minimum number of jiye model performances during the 
esthetics course under the supervision of a registered 
cosmetologist or esthetician teacher before taking the esthetician 
examination: 

( 1) Facials : 

(A) 40 Manual (skin analysis, cleansing, scientific 
manipulations, packs and masks); 

(B) 60 Electrical (the use of electrical modalitus. 
including dermal lights, and electrical 
apparatus for facials and skin care). 

(2) 50 Eyebrow arching and hair removal 

(3) 40 Make-up (skin analysis, complete and corrective 
make-up). 

(b) A minimum of 60 hours of technical and practical 
instruction in application areas are required prior to conducting 
performances on the public. 

Histon- Note: Autliorin-G.S. 88B-4: 



.0101 SCHEDULE OF CIVIL PENALTIES 

The Board shall adopt a civil penalty schedule for the 1st. 2"** 
and 3"^ violations of the following offenses. For the 4^ and 
subsequent offenses, the provisions of G.S. 88B-24 will apply. 
Those violations that are firs t offense correctable will be 
identified with the word "warning" appended to it. If the offense 
is not corrected within the 30 day time allotted, the civil penalu 
in parenthesis will apply. 

Histon- Note: .Authority- G.S 88B-4: 88B-29; 
Temporary .Adoption Eff January 1_^ 1999. 

.0102 QUALIFICATIONS FOR LICENSING 
TEACHERS 

Submitting false or fraudulent documentation on the 
application for licensure as a Teacher: 

(1) 1st offense SI. 000.00; 

(2) subsequent offense revocation of license . 



■24: 88B-29: 



Histon- Note: .Authority- G.S. 88B-4. 
Temporary- Adoption Eff. Januan- L. 1999. 



.0103 TEMPORARY EMPLOYMENT PERVHT 

Practicing cosmetology, manicuring, or esthe tics \\k]i m\ 
expired permit. The First offense is a warnin g that i_f noj 
corrected within thirty days a one hundred dollars (SIOO.OO ) 
penalty will apply: 

(JQ I St offense warning (SIOO.OO); 

Ql 2"" offense $250.00; 

iiJ 3'" offense S500.00. 



1163 



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Januan- 15, 1999 



13:14 



TEMPORAR Y RULES 





(1) P' offense warning ($50.00); 


Histon Note: Authority- G.S. 88B-4; 


(2) 2"" offense $100.00; 


Temporan' Adoption Eff. Januan,' 1. 1999. 


(3) 3"^ offense $200.00. 


.0104 LICENSING OF COSMETIC ART SHOPS 


Histon- Note: A uthorit\- G. S 888-4: 888-29: 


(a) Operating a salon without first fiiinu an application for a 


Temporary Adoption Eff January 1. 1 999. 


salon license: 




(1) P' offense warning ($100.00); 


.0108 REVOCATION OF LICENSES AND OTHER 


(2) Z'"* offense $200.00; 


DISCIPLINARY MEASURES 


(3) 3"* offense $300.00. 


(a) Allowing unlicensed practitioners to practice in a licensed 


(b) Moving or changing location of an existing salon without 


salon: 


first submitting the appropriate form and fee to the Board: 


(1) P' offense $250.00; 


(1) P' offense warning ($100.00); 


(2) 2"" offense $500.00; 


(2) 2"' offense $200.00; 


(3) 3^" offense $1,000.00. 


(3) 3''' offense $300.00. 


(b) Practicing cosmetologv. manicuring or esthetics w ith 




a license issued to another person: 


Histon' Note: Authorir[- G.S. 88B-4: 


(1) P' offense $300.00; 


Temporal' Adoption Eff. Januan' I. 1999. 


(2) 2"" offense $500.00; 




(3) 3"' offense $1,000.00. 


.0105 RENEWALS; EXPIRED LICENSES; LICENSES 


(c) Altering a license, permit or authorization issued by the 


REQUIRED: 


Board: 


(a) Operating a salon with an expired license: 


(1) P' offense $300.00; 


(1) 1st offense warning ($100.00); 


(2) 2'"' offense $400.00; 


(2) 2nd offense $250.00; 


(3) 3'" offense $500.00. 


(3) 3'" offense $500.00. 


(d) Submitting false or fraudulent documents when enrolling 


(b) Practicing cosmetology, manicuring, or esthetics with an 


students: 


expired license: 


(1) P' offense $200.00: 


(1) P" offense warning ($100.00); 


(2) 2"' offense $300.00; 


(2) 2"' offense $250.00; 


(3) 3'^ offense $500.00. 


(3) 3'' offense $500.00. 




(c) Teaching with an expired license: 


Histon- Note: Authority' G.S. 888-4: 888-24: 888-29: 


(1) r' offense warning ($100.00); 


Temporary .Adoption Eff Januan' 1, 1999. 


(2) 2"%ffense $200.00; 




(3) 3'" offense $400.00. 


.0109 INSPECTIONS 




Refusal to permit or interference with an inspection: 


Histon- Note: .4uthorit^^ G.S. 88B-4: 888-21: 888-24: 


(1) P' offense $100.00; 


Temporan' Adoption Eff. Januan' 1, 1999. 


(2) 2"^ offense $250.00; 




(3) 3'" offense $500.00. 


.0106 LICENSES REQUIRED 




(a) Practicing cosmetic art without a license: 


Histo)-y Note: Authority G.S. 888-4: 888-27: 888-29: 


(1) 1st offense $100.00; 


Temporan' Adoption Eff Januan- 1, 1999. 


(2) 2"'' offense $300.00; 




(3) 3'" offense $500.00. 


.0110 LICENSING OF BEAUTY SALONS 


(b) Performing services which the practitioner is not licensed 


(a) Use of a salon as living, dining, or sleeping quarters: 


to perform: 


(1) P' offense warning ($50.00); 


(1) P' offense $100.00; 


(2) 2"%ffense $100.00; 


(2) 2'" offense $250.00; 


(3) 3"^ offense $200.00. 


(3) 3^" offense $500.00. 


(b) Failure to provide a separate entrance into the salon: 




(1) P' offense warning ($100.00); 


History Note: .iiithonty G.S 888-4: 888-29; 


(2) 2"'* offense $200.00; 


Temporan' Adoption Eff. Januan' 1. 1999. 


(3) 3"^ offense $400.00. 




(c) Reopening a salon which has been closed for more than 


.0107 LICENSES TO BE POSTED 


90 da\s without making application to the Board for a new 


(a) Failure to displav salon/school license: 


license: 


( 1 ) P' offense warning ($50.00); 


(1) P' offense $100.00; 


(2) 2"" offense $100.00; 


(2) 2"''ofTense $200.00; 


(3) 3'" offense $200.00. 


(3) 3"^ offense $300.00. 


(b) Failure to displav an individual license: 





13:14 



NORTH CAROLINA REGISTER 



Januan 15, 1999 



1164 



TEMPOR.4R Y RULES 



History Note: A uthont\: G. S. 88B-4: 88B- 1 4; 88B-29; 




(3) 3'" offense $100.00. 


TemporaiT Adoption Eff. January 1. 1999. 




(f) Failure to have students wear clean, white professional 
attire: 

(1) P' offense warning ($50.00); 


.0111 ESTABLISHMENT OF COSMETIC 


ART 


SCHOOLS 




(2) 2"" offense $100.00; 


(a) Failure to provide minimum floor space or equipment and 


(3) 3^" offense $200.00. 


supplies as required b\ Subchapters 141 and 14J: 




(g) Failure of operators in salons to wear clean outer garments 


(1) P' offense $200.00; 




with sleeves: 


(2) 2"" offense $350.00: 


(1) P' offense warning ($50.00); 


(3) 3^" offense $500.00. 


(2) 2"" offense $100.00: 


(b) No licensed teacher on duX\: 


(3) 3'^ offense $200.00. 


(1) P' offense $100.00; 




(h) Failure to store used or clean towels, or failure to launder 


(2) 2"^ offense $250.00; 


used towels: 


(3) 3"* offense $500.00. 


(1) P' offense warning ($50.00); 


(c) Failure to provide instruction at a ratio of one teacher for 


(2) 2"'' offense $100.00; 


ever\ 20 students: 




(3) 3'" offense $200.00. 


(1) P' offense wamins ($100.00); 




(i) Failure to dispose of supplies or instruments which come 


(2) 2"" offense $250.00: 




in direct contact with a patron and which cannot be disinfected: 


(3) 3"' offense $500.00. 




(1) P' offense warning ($50.00); 


(d) Failure to report a change in the teaching staff: 




(2) 2"'' offense $100.00; 


(1) P' offense warning ($50.00): 




(3) 3'" offense $200.00. 


(2) 2"" offense $100.00: 




(i) Failure to disinfect non-electrical instruments and 


(3) 3'" offense $200.00. 




equipment: 


(e) Failure to submit an application for the approval 


of a 


(1) P' offense warning ($50.00); 


school in the case of a change of location or ownership: 




(2) 2"" offense $100.00; 


(1) P' offense $100.00; 




(3) y offense $200.00. 


(2) 2"" offense $200.00; 




(k) Failure to store and label creams, powders, and other 


(3) 3'" offense $500.00. 




cosmetic preparations: 

(1) P' offense warning ($25.00); 


Histon- Note: Authority G.S. 88B-4: 8HB-16; 88B-29; 




(2) 2"" offense $50.00; 


Temporan- Adoption Eff. January I. 1999. 




(3) 3^" offense $100.00. 
(1) Failure to have necessar\ first aid equipment on hand: 


.0112 SANITARY RATINGS AND POSTING 


OF 


(1) P' offense warning ($25.00); 


RATINGS - APPLICABLE 


TO 


(2) 2"'' offense $50.00; 


ESTABLISHMENTS WITH A SANITATION 


(3) 3^" offense $100.00. 


GRADE OF LESS THAN 80% 




(m) Necessarv lighting and/or ventilation, unsanitarv 


(a) Failure to displav an inspection grade card: 




conditions: 


(1) P' offense warning ($50.00); 




( 1 ) P' offense warning ($50.00); 


(2) 2"'^ offense $100.00; 




(2) 2"^' offense $100.00; 


(3) 3^" offense $200.00. 




(3) 3'" offense $200.00. 


(b) Non-working toilet facilities: 




(n) Doors and windows not effectivelv screened: 


(1) P' offense waminp ($50.00); 




(1) P' offense warning ($50.00); 


(2) 2"" offense $100.00; 




(2) 2"'' offense $100.00; 


(3) 3'" offense $200.00. 




(3) 3'" offense $200.00. 


(c) Failure to maintain equipment, furnishings and floor 


(o) Trash containers not covered: 


coverings: 




(1) P' offense warning ($25.00); 


(1) P' offense warning ($25.00); 




(2) 2"" offense $50.00; 


(2) 2"'' offense $50.00; 




(3) 3'" offense $100.00. 


(3) 3"^ offense $100.00. 




(p) Failure to use EPA approved disinfectant: 


(d) Failure to provide hot and cold running water: 




(1) P' offense $50.00; 


(1) P' offense warning ($50.00); 




(2) 2"'' offense $100.00; 


(2) 2"" offense $100.00; 




(3) 3'" offense $200.00. 


(3) 3''' offense $200.00. 




(q) Failure to maintain a sanitar\' establishment (80"o rating 


(e) Allow ing an\ animal or bird to enter or remain in a 


salon 


or better): 


or school. Trained animals accompanving sightless or hearing 


(1) P' offense warning ($25.00); 


impaired persons are exempt: 




(2) 2"" offense $50.00; 


(1) P' offense warning ($25.00) 




(3) 3"^ offense $100.00. 


(2) 2'"' offense $50.00 







1165 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



TEMPORARY RULES 



History Note: Authority G.S. HHB-4: HHB-29: 
Temporan' Adoption Eff. Januur\- 1^ 1999. 

.0113 OPERATIONS OF SCHOOLS OF COSMETIC 
ART 

(a) Failure to record student's hours of dail\ attendance: 
QJ 11' o ffense warning (SIOO.OO); 

Qj 2"' offense $200.00: 

(3 J 3"* offense $300.00. 

(b) Failure to report withdrawal or graduation of a student 
within 30 working da\s: 

LD I " offense warning ($50.00); 

(D 2"'' offense $100.00; 

(3J 3" offense $200.00. 

(c) Failure to submit cosmetology enrollments within 30 
working da\s or manicurist and esthetician enrollments within 
15 working da\s: 

ID r' offense warning ($50.00); 

(2J 2"" offense $100.00; 

ID 3'" offense $200.00. 

(d) Failure to display a copy of the sanitar\ rules: 
UL) P' offense warning ($50.00); 
{21 2"'' offense $100.00; 

(3J 3" offense $200.00. 

(e) Failure to post consumer sign "Cosmetic Art School z 
Work Done Exclusivelv bv Students": 



(3J 3'" offense 



S200.00. 



( 1 ) 11' offense 
(2J 2"'^ offense 
(3J 3"^ offense 



warning ($50.00); 

$100.00; 

$200.00. 



History Note: Authority G.S. 88B-4: 883-16: 88B-29: 
Temporary .Adoption Eff. Januarx 1^ 1999. 

.0114 COSMETOLOGY CURRICULUM 

(a) Cosmetology students with less than 300 hours credit 
working on the public. Shampoo and scalp manipulations are 
exempt: (school yiolation) 

LD 1 " offense $100.00; 

12J 21' offense $200.00; 

OJ 3"' offense $300.00. 

(b) Manicurist students with less than 1 6 hours credit working 




ubiic: 
ll offense 
2"*^ offense 
3" offense 



$100.00; 
$200.00; 
$300.00. 



Esthetician students with less than 60 hours credit 



working on the public: 
UJ 1 " offense 
(2) 2"' offense 
(1) y" offense 



$100.00; 
$200.00; 
$300.00. 



Histoiy Note: Authority G S. 88B-4: 88B-29: 
Temporan.- .Adoption Eff. January T 1999. 

.0116 CIVIL PENALTY PROCEDURES: 

(a) Citations. The Board, through hs duK authorized 
representatives, shall issue a citation with respect to an\ 
violation for which a civil penalty may be assessed. Each citation 
shall be in writing and shall describe the nature of the violation, 
including a reference to the specific provision alleged to have 
been violated. The civil penaltN. jf any, shall attach at the time 
the citation js written. The c itation shall include an order to 
correct any condition or violation which lends itself to 
corrections, as determined by the Board. 

(b) Correction of Violation. An\ licensee who has been 
issued a warning citation must present written proof satisfactory 
to the Board, or its executive director, that the \ iolation has been 
corrected. This provision applies only to a licensee's first 
violation jn any one y ear period for a violation with a 1st offense 
warning penalty. Proof of correction shall be presented to the 
Board, through its executive director, within 30 days of the date 
the warning citation was issued. The Board may, m its 
discretion, extend for a reasonable period, the time within which 
to correct the warning citation upon the showing of good cause. 
Notices of correction filed after the prescribed date shall not be 
acceptable and the civil penalty shall be paid. 

(c) Contested Case. Persons to vyhom a notice of violation or 
a citation is issued and a civil penalty assessed, may contest the 
civil penalty by tiling written notice y\ith the Board. The Board 
shall institute a contested case by sending a notice of hearing 
pursuant to Article 3A of Chapter 150B of the General Statutes. 
The issuance of notice of hearing shall stay the civil penalty until 
the Board renders a final agency decision in the contested case. 

(d) Final Agency Decision. The Board, after the hearing has 
been concluded, may atTimi. reduce, or dismiss the charges tiled 
in the notice ot' hearing or any penalties assessed. In no event 
shall the civil penalty be increased. 

(e) Failure to File. Jf no written notice contesting the civil 
penalty js filed as set forth m Paragraph (c). the civil penalty 
becomes a final agency decision. 

History Note: A uthority G. S. 88B-4: 88B-29: 
Temporary .Adoption Eff. January ]_^ 1999. 



History Note: A uthority G. S. 88B-4: 88B-29: 
Temporary .Adoption Eff January 1_^ 1999. 

.0115 SANITARY RATINGS 

Failure to display an inspection grade card: 
LD 1 ^' offense warning ($50.00); 

12) 2"" offense $100.00; 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1166 



APPROVED RULES 



This Section includes the Register Notice citation to Rules approved by the Rules Review Commission (RRC) at its meeting 
of October 22. 1998 pursuant to G.S. I50B-21. 1 7(a)fl) and reported to the Joint Legislative Administrative Procedure 
Oversight Committee pursuant to G.S. I50B-2I. 16. The full text of rules are published below when the rules have been 
approved by RRC in a form different from that originally noticed in the Register or when no notice was required to be 
published in the Register The rules published in full text are identified by an * in the listing of approved rules. Statutory 
Reference: G.S 150B-2 1.1 7. 

These rules unless otherwise noted, will become effective on the 31st legislative day of the 1999 Session of the General 
Assembly or a later date if specified by the agency unless a bill is introduced before the 3 1st legislative day that specifically 
disapproves the rule. If a bill to disapprove a rule is not ratified, the rule will become effective either on the day the bill 
receives an unfavorable final action or the day the General Assembly adjourns. Statutoiy reference: G.S. 150B-21.3. 



APPROVED RULE CITATION 



REGISTER CITATION TO THE 
NOTICE OF TEXT 



10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
n 



NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 03 R 

NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 03R 

NCAC 24A 

NCAC 26B 

NCAC 42C 

NCAC 42C 

NCAC 42C 

NCAC 42R 

NCAC 49B 

NCAC 09A 

NCAC 09A 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 

NCAC 09B 



.0214 

.3051 

.6101 - 

.6103- 

.6113- 

.6122* 

.6123 

.6124* 

.6125- 

.6131* 

.6132- 

.0508* 

.0103* 

.3401 

.3403 - 

.3601 

.0201 

.0315* 

.0101* 

.0103* 

.0101* 

.0205* 

.0209* 

.0210* 

.0210* 

.0211* 

,0211* 

.0212* 

02 12* 

.0213* 

.0213* 

.0214* 

.0214* 

.0215* 

.0218- 

.0226 - 

.0232 - 

.0309 

.0310* 

.0311 

.0404 

.0408 - 



.6102* 

.6111 

.6121 



.6130 
.6141 

.3404 

Amended Eff. November 1. 1998 

Amended Eff. November 1. 1998 
Amended Eff November 1. 1998 
Amended Eff November 1. 1998 

Amended Eff November 1 . 1 998 

Amended Eff November 1 , 1 998 

Amended Eff November 1. 1998 

Amended Eff. November 1, 1998 



.0222* 

,0227* Amended Eff November 1. 1998 

.0233* Amended Eff November 1, 1998 



.0409* 



13:03 NCR 270 
13:02 NCR 178 
13:02 NCR 178 
13:02 NCR 179 
13:02 NCR 188 
13:02 NCR 189 
13:02 NCR 190 
13:02 NCR 190 
13:02 NCR 191 
13:02 NCR 194 
13:02 NCR 195 
12:23 NCR 2090 
13:01 NCR5 
13:02 NCR 200 
13:02 NCR 201 
13:02 NCR 202 
12:23 NCR 2090 
13:02 NCR 203 
not required. G.S. 
13:01 NCR6 
13:01 NCR 6 
not required, G.S. 
not required, G.S, 
not required, G.S, 
13:01 NCR 6 
not required, G.S. 
13:01 NCR 6 
not required, G.S, 
13:01 NCR 6 
not required. G.S. 
13:01 NCR6 
not required, G.S. 
13:01 NCR 6 
13:01 NCR 6 
13:01 NCR 6 
not required. G.S, 
not required, G.S. 
13:01 NCR6 
13:01 NCR6 
13:01 NCR6 
13:01 NCR6 
13:01 NCR6 



150B-2 1.5(4) 

150B-2 1.5(4) 
150B-2 1.5(4) 
1506-21.5(4) 

150B-2 1.5(4) 

1506-21.5(4) 

1506-21.5(4) 

1506-21.5(4) 



1 506- n. 5(4) 
1506- '.1.5(4) 



1167 



NORTH CAROLINA REGISTER 



Januarx' 15, 1999 



13:14 



APPROVED RULES 



12 


NCAC 


OOB 


0414 


13:01 NCR6 


12 


NCAC 


09B 


0416* 


13:01 NCR 6 


12 


NCAC 


09C 


0308* 


13:01 NCR6 


12 


NCAC 


09C 


0601* Amended Eff. November 1. 1998 


not required. G.S. 1508-21.5(4) 


12 


NCAC 


09E 


010S-.0106* Amended Eff. November 1. 1998 not required, G.S. 150B-21.S(4) 


12 


NCAC 


09F 


0107* Amended Eff. November 1, 1998 


not required. G.S. 1508-21.5(4) 


12 


NCAC 


11 


0S02* 


12:20 NCR 1824 


12 


NCAC 


11 


0S04-.050S* 


12:20 NCR 1824 


14A 


NCAC 


07 


0313* 


12:01 NCR 6 


15A 


NCAC 


07H 


170S* 


12:24 NCR 2202 


15A 


NCAC 


16A 


0106 


13:02 NCR 235 


15A 


NCAC 


16A 


0108 


13:02 NCR 235 


15A 


NCAC 


18A 


2508 


13:01 NCR31 


15A 


NCAC 


18A 


2513 


13:01 NCR 32 


15A 


NCAC 


18A 


25 1 5 


13:01 NCR 32 


15A 


NCAC 


18A 


25 17 -.25 18 


13:01 NCR 32 


15A 


NCAC 


18A 


2526* 


13:01 NCR 36 


15A 


NCAC 


18A 


2528* 


13:01 NCR37 


15A 


NCAC 


18A 


2530 -.2532* 


13:01 NCR 37 


15A 


NCAC 


18A 


2535* 


13:01 NCR 39 


15A 


NCAC 


18A 


2539 


13:0! NCR 40 


15A 


NCAC 


18A 


2543 


13:01 NCR41 


13A 


NCAC 


18A 


2801 -.2802* 


13:02 NCR 235 


ISA 


NCAC 


18A 


2803 


13:02 NCR 237 


15A 


NCAC 


18A 


2810* 


13:02 NCR 238 


15A 


NCAC 


18A 


28I2-.28I3* 


13:02 NCR 239 


15A 


NCAC 


18A 


2815 


13:02 NCR 240 


15A 


NCAC 


18A 


2817* 


13:02 NCR 240 


15A 


NCAC 


18A 


2819- .2820* 


13:02 NCR 240 


15A 


NCAC 


18A 


2822* 


13:02 NCR 241 


15A 


NCAC 


ISA 


2823 


13:02 NCR 241 


15A 


NCAC 


18A 


2824 - .2825* 


13:02 NCR 242 


15A 


NCAC 


18A 


2828* 


13:02 NCR 242 


15A 


NCAC 


18A 


2829 


13:02 NCR 242 


ISA 


NCAC 


18A 


2830* 


13:02 NCR 242 


ISA 


NCAC 


18A 


2831 


13:02 NCR 243 


ISA 


NCAC 


18A 


2832* 


13:02 NCR 243 


ISA 


NCAC 


18A 


2834 


13:02 NCR 243 


ISA 


NCAC 


24A 


010! -.0102 


13:02 NCR 244 


ISA 


NCAC 


24A 


0302 


13:02 NCR 245 


ISA 


NCAC 


24A 


0402 - .0404 


13:02 NCR 245 


19A 


NCAC 


02 D 


0816* 


13:01 NCR 1 



TITLE 10 - DEPARTMENT OF HEALTH AND 
HUMAN SERVICES 

SUBCHAPTER 3R - CERTIFICATE OF NEED 
REGULATIONS 

SECTION .6100 - PLANNING POLICIES AND NEED 
DETERMINATIONS 

.6101 APPLICABILITY OF RULES RELATED TO 
THE 1998 STATE MEDICAL FACILITIES 
PLAN 

Rules .6101 through .6105 and .6107 through .6141 of this 



Section appi\ to certificate of need applications for which the 
scheduled review period begins during calendar \ ear 1 998. In 
addition. Rule .6106 of this Section shall be used to implement 
procedures described within it during calendar \ear 1998. 

History Note: Aiilhority GS. 1 31 E-l'6(25): niE-T'll): 

15IE-IH3(h): 

Temporary Adoption Eff. January I. 1998: 

Ejf.April I. 1999. 



.6102 



OF 



NEED 



REVIEW 



CERTIFICATE 
CATEGORIES 

The agency has established 10 categories of facilities and 



13:14 



NORTH CAROLINA REGISTER 



Jiiniuirv 15, 1999 



1168 



APPROVED RULES 



services for certificate of need review and shall determine the 
appropriate review category or categories for all applications 
submitted pursuant to 10 NCAC 3R .0304. For proposals which 
include more than one category, the agency may require the 
applicant to submit separate applications. If it is not practical to 
submit separate applications, the agency shall determine in 
which category the application will be reviewed. The review of 
an application for a certificate of need shall commence in the 
next review schedule after the application has been determined 
to be complete. The 10 categories of facilities and services are: 

(1) Category A. Proposals submitted by acute care 
hospitals, except those proposals included in 
Categories B through H and Categor\ J. including but 
not limited to the following types of projects: 
renovation, construction, equipment, and acute care 
services. 

(2) Category B. Proposals for nursing care beds: new 
continuing care facilities applying for exemption 
under 10 NCAC 3R .6134; and relocations of nursing 
care beds under 10 NCAC 3R .6136. 

(3) Category C. Proposals for new psychiatric facilities; 
psychiatric beds in existing health care facilities; new 
intermediate care facilities for the mentally retarded 
(ICF/MR) and ICF/MR beds in existing health care 
facilities; new substance abuse and chemical 
dependency treatment facilities; substance abuse and 
chemical dependency treatment beds in existing health 
care facilities. 

(4) Category D. Proposals for new dialysis stations in 
response to the "count)' need" or "facility need" 
methodologies; and relocations of existing dialysis 
stations to another county. 

(5) Category E. Proposals for new or expanded inpatient 
rehabilitation facilities and inpatient rehabilitation 
beds in other health care facilities; and new or 
expanded ambulatory surgical facilities except those 
proposals included in Categon, H. 

(6) Category F. Proposals for new home health agencies 
or offices, new hospices, new hospice inpatient 
facilits beds, and new hospice residential care facility 
beds. 

(7) Category G. Proposals for conversion of hospital 
beds to nursing care under 10 NCAC 3R .6133. 

(8) Category H. Proposals for bone marrow 
transplantation services, bum intensive care services, 
neonatal intensive care services, open heart surgery 
services, solid organ transplantation services, air 
ambulance equipment, cardiac angioplasty equipment, 
cardiac catheterization equipment, heart-lung bypass 
machines, gamma knives, lithotriptors, magnetic 
resonance imaging scanners, positron emission 
tomography scanners, major medical equipment as 
defined in G.S. 131E-176(l4f), diagnostic centers as 
defined in G.S. 131E-176(7a). and oncolog\ treatment 
centers as defined in G.S. 131E-176( 18a). 

(9) Category 1. Proposals involving cost overruns; 
expansions of existing continuing care facilities which 
are licensed by the Department of Insurance at the 



date the application is filed and are applying under 
exemptions from need determinations in 10 NCAC 
3R .6121; relocations within the same county of 
existing health service facilities, beds or dialysis 
stations which do not involve an increase in the 
number of health service facility beds or stations; 
reallocation of beds or services; Category A proposals 
submitted by Academic Medical Center Teaching 
Hospitals designated prior to January 1, 1990; 
proposals submitted pursuant to 10 NCAC 3R 
.6130(c) by Academic Medical Center Teaching 
Hospitals designated prior to January 1, 1990; and any 
other proposal not included in Categories A through 
H and Category J. 
(10) Category J. Proposals for demonstration projects. 

History Note: Authority G.S. 131 £-176(25); 131E-177(1): 

13IE-183(b): 

Temporary Adoption Eff. January 1, 1998: 

Eff. April!. 1999. 

.6122 DEMONSTRATION PROJECT TO ESTABLISH 
A NURSING CARE FACILITY FOR PERSONS 
WHO ARE DEAF OR HARD OF HEARING 
(REVIEW CATEGORY J) 

(a) It is determined that 90 nursing care beds are needed for 
a demonstration project to establish one new nursing care facility 
for persons who are deaf or hard of hearing. 

(b) The project may be developed in any county in the state. 

(c) The nursing care beds in this demonstration project shall 
not be counted in the nursing care bed inventory for the county 
in which the facility is developed. 

(d) Admissions to the nursing care facility shall be restricted 
to persons who are deaf or hard of hearing. "Hard of hearing" 
is defined for purposes of the demonstration project as persons 
with 60 decibel pure tone average in the better ear unaided and 
with a hearing impairment of sufficient degree to interfere with 
normal communication, as defined by speech reception 
thresholds. Hearing assessments used for screening admissions 
must be performed by a licensed audiologist. 

(e) The demonstration project shall provide data to evaluate 
the effectiveness of this type of program, including an annual 
report to the Long-Term Care Committee and to the Division of 
Services for the Deaf and the Hard of Hearing with regard to at 
least the following measures: 

( 1 ) Occupancy Rate; 

(2) Utilization by Percentage of Persons who are Deaf 
and by Percentage of Persons who are Hard of 
Hearing; 

(3) Patient Origin Data; 

(4) Cost Data, particularly with icgaiii lo ancill.rnA 
communication services and training; and 

(5) Consumer Satisfaction, including ratings from 
patients and family members. 

History Note: Authority- G.S. 1 31 E-l 76(25): 13 1 £-177(1): 

I3IE-I83(b): 

Temporary .Adoption Eff. January I. 1998: 



1169 



NORTH CAROLINA REGISTER 



Januan 15, 1999 



13:14 



APPROV ED Rl LES 



Eff. April I. 1999. 

.6124 DIALYSIS STATION NEED DETERMINATION 

(a) The Medical Facilities Planning Section (MFPS) shall 
determine need for new dialysis stations two times each calendar 
year, and shall make a report of such determinations available to 
all who request it. This report shall be called the North Carolina 
Semiannual Dialysis Report (SDR). Data to be used for such 
determinations, and their sources, are as follows: 

(1) Numbers of dialysis patients. b> type, county and 
facility, from the Southeastern Kidne> Council, Inc. 
(SEKC) and the Mid-Atlantic Renal Coalition. Inc. as 
of December 31.1 997 for the March SDR and as of 
June 30, 1998 for the September SDR. 

(2) Certificate of need decisions, decisions appealed, 
appeals settled, and av\ards. from the Certificate of 
Need Section. DPS. 

(3) Facilities certified for participation in Medicare, from 
the Certification Section. DPS. 

(4) Need determinations for which certificate of need 
decisions have not been made, from MFPS records. 

Need determinations in this report shall be an integral part of the 
State Medical Facilities Plan, as provided in G.S. 1 3 1 E-183. 

(b) Need for new dialysis stations shall be determined as 
follows: 

( 1 ) County Need: 

(A) The average annual rate (°o) of change in total 
number of dialysis patients resident in each 
county from the end of 1 993 to the end of 1 997 
is multiplied by the county's 1997 year end 
total number of patients in the SDR. and the 
product is added to each county's most recent 
total number of patients reported in the SDR. 
The sum is the county's projected total 1998 
patients. 

(B) The percent of each county's total patients who 
were home dialysis patients at the end of 1 997 
is multiplied b\ the county's projected total 
1998 patients, and the product is subtracted 
from the county's projected total 1998 patients. 
The remainder is the county's projected 1998 
in-center diaKsis patients. 

(C) The projected number of each county's 1998 
in-center patients is di\ided by 3.2. The 
quotient is the projection of the county's 1998 
in-center diai_\sis stations. 

(D) From each county's projected number of 1 998 
in-center stations is subtracted the county's 
number of stations certified for Medicare. 
CON-approved and awaiting certification, 
awaiting resolution of CON appeals, and the 
number represented by need determinations in 
previous State Medical Facilities Plans or 
Semiannual Dialysis Reports for which CON 
decisions have not been made. The remainder 
is the county's 1998 projected surplus or 
deficit. 

(E) If a county's 1998 projected station deficit is 10 



or greater and the SDR shows that utilization 
of each dialysis facility in the county is SO^o or 
greater, the 1998 county station need 
determination is the same as the 1998 projected 
station deficit. If a county's 1998 projected 
station deficit is less than 10 or if the 
utilization of an> diaKsis facilirs in the county- 
is less than 80°o. the county's 1998 station need 
determination is zero. 
(2) Facility Need: A diaKsis facility located in a county 
for which the result of the County Need methodologv 
is zero in the reference Semiannual DiaKsis Report 
(SDR) is determined to need additional stations to the 
extent that: 

(A) Its utilization, reported in the current SDR, is 
3.2 patients per station or greater 

(B) Such need, calculated as follovss. is reported in 
an application for a certificate of need: 

(i) The facility's number of in-center 
dialysis patients reported in the pre\ ious 
SDR (SDR I) is subtracted from the 
number of in-center dialysis patients 
reported in the current SDR (SDR2). 
The difference is multiplied b\ 2 to 
project the net in-center change for 1 
year Divide the projected net in-center 
change for the year b\ the number of in- 
center patients fi-om SDR] to detemiine 
the projected annual growth rate. 

(ii) The quotient from Subpart (b)(2)(B)(i) 

of this Rule is divided b\ 12. 
(iii) The quotient from Subpart (b)(2)(B)(ii) 
of this Rule is multiplied b\ the number 
of months ft-om the most recent month 
reported in the current SDR until the 
end of calendar 1998. 
(iv) The product trom Subpart (b)(2)(B)(iii) 
of this Rule is multiplied b\ the number 
of the facility's in-center patients 
reported in the current SDR and that 
product is added to such reported 
number of in-center patients. 

(v) The sum from Subpart (b)(2)(B)(i\ ) of 
this Rule is divided b\ 3.2. and from the 
quotient is subtracted the facility's 
current number of certified and pending 
stations as recorded in the current SDR. 
The remainder is the number of stations 
needed. 

(C) The facility ma> appK to expand to meet the 
need established in Subpart (b)(2)(B)(v) of this 
Rule, up to a maximum of 10 stations. 

(c) The schedule for publication of the North Carolina 
Semiannual Dialysis Report (SDR) and for receipt of certificate 
of need applications based on each issue of this report in 1998 
shall be as follows: 



13:14 



NORTH CAROLINA REGISTER 



January 15. 1999 



1170 



APPROVED RULES 



Data for Receipt of Publication 

Period Ending SEKC Report of SDR 



Receipt of 

CON Applications 



Beginning 
Review Dates 



Dec. 31. 1997 Feb. 27. 1998 March 20. 1998 



June 30. 1998 Aug. 31,1998 Sept. 21.1998 



May 15. 1998 
Nov. 13, 1998 



June 1, 1998 
Dec. 1, 1998 



(d) An application for a certificate of need pursuant to this 
Rule shall be considered consistent with G.S. 131E-183(a)( 1 ) 
only if it demonstrates a need by utilizing one of the methods of 
determining need outlined in this Rule. 

(e) An application for a new End Stage Renal Disease facilitN 
shall not be approved unless it documents the need for at least 10 
stations based on utilization of 3.2 patients per station per week. 

(0 Home patients shall not be included in determination of 
need for new stations. 

History Note: Authority G.S. 131 £-176(25): 131 £-177(1): 

131£-183(b): 

Temporary Adoption Eff. Jamiaiy I. 1998: 

£Jf. April 1. 1999. 

.6131 POLICIES FOR INPATIENT 

REHABILITATION SERVICES 

(a) After applying other required criteria, when superiority 
among two or more competing rehabilitation facilit)' certificate 
of need applications is uncertain, favorable consideration shall 
be given to proposals that make rehabilitation services more 
accessible to patients and their families or are part of a 
comprehensive regional rehabilitation network. 

(b) Rehabilitation care which can be provided in an outpatient 
or home setting shall be provided in these settings. All new 
inpatient rehabilitation programs shall provide comprehensive 
outpatient rehabilitation services as part of their service delivery 
programs. 

History' Note: Authority G.S. 13I£-I76(25): 131E-I77(lj: 

13 1 £- 183(b): 

Temporary Adoption Eff. January I. 1998: 

Eff. April' I. 1999. 

CHAPTER 24 - SOCIAL SERVICES 

SUBCHAPTER 24A - GENERAL 

SECTION .0500 - GENERAL POLICIES 

.0508 ADVISORY TO COUNTIES REGARDING 
PETITION OF GARNISHMENT 

The Division of Social Services shall advise county 
departments of social services and consolidated human services 
boards of any State and federal laws and regulations that restrict 
the garnishment of wages to recoup a fraudulent public 
assistance program payment as provided in G.S. 108A-25.1. 



History Note: Authority G.S. 108A-25.1: 143B-153: S.L 

1997-497: 

Temporary Adoption Eff. December 8. 1997: 

Eff. April' 1. 1999. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26B - MEDICAL ASSISTANCE 
PROVIDED 

SECTION .0100 - GENERAL 

.0103 HOME HEALTH SERVICES 

Home health services shall be provided by Medicare certified 
home health agencies under a plan of care authorized by the 
patient's physician. 

Histon Note: Authorin' G.S. 108A-25(b): 108A-54: 

Eff. February I, 1976: 

ReadoptedEff. October 31. 1977: 

-Amended Eff April 1. 1999: February 1. 1980. 

CHAPTER 49 - AID TO FAMILIES WITH 
DEPENDENT CHILDREN (AFDC) 

SUBCHAPTER 49B - ELIGIBILITY 
DETERMINATION 

SECTION .0300 - ELIGIBILITY FACTORS 

.0315 TWO-PARENT FAMILIES 

(a) Assistance Units with two able-bodied parents shall be 
eligible to receive cash assistance onK for months during which 
the parents meet the federal work participation requirement as 
described in Section 407 of Public Law 104-193 which is hereby 
incorporated by reference including subsequent amendments and 
editions. 

(b) The parents shall verify as prescribed by the State, that 
they have satisfied the federal work leqnii -incnt. If the 
assistance unit is otherwise eligible for a pa;, iu.^ni. ihe payment 
shall be made within five calendar da\s of tl; ; dale the coum_\ 
receives the parent's verification. 

(c) The amount of the cash assistance payment shall be 
calculated for the month as it is for all other assistance units. 

History note: Authorit^■ G.S. 108A-25: S.L. 199'-443: P.L. 



1171 



NORTH CAROLINA REGISTER 



Jan nan- 15, 1999 



13:14 



APPROVED RULES 



104-193: 

Temporary Adoption Eff. March 1. 1998: 

Eff. April 1. 1999. 



TITLE 12- DEPARTMENT OF JUSTICE 

CHAPTER 9 - CRIMINAL JUSTICE EDUCATION 
AND TRAINING STANDARDS 

SUBCHAPTER 9A - CRIMINAL JUSTICE 

EDUCATION 

AND TRAINING STANDARDS COMMISSION 

SECTION .0100 - COMMISSION ORGANIZATION 
AND PROCEDURES 

.0101 LOCATION 

The North Carolina Criminal Justice Education and Training 
Standards Commission is established in the Department of 
Justice and is located in the Old Education Building. 1 14 West 
Edenton Street, in Raleigh. North Carolina. The mailing address 
is: 

North Carolina Criminal Justice Education 

and Training Standards Commission 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

Telephone (919)716-6470 

History Note: Authority G.S. 17C-3: 17C-6: 

Eff. January 1, 1981: 

.Amended Eff. November 1. 1998: .August 15. 1981. 

.0103 DEFINITIONS 

The following definitions apply throughout this Chapter, 
except as modified in 12 NCAC 9 A .0107 for the purpose of the 
Commission's rule-making and administrative hearing 
procedures: 

( 1 ) "Agency" or "Criminal Justice Agencv " means those 
state and local agencies identified in G.S. 17C-2(b). 

(2) "Alcohol Law Enforcement Agent" means a law 
enforcement officer appointed by the Secretary of 
Crime Control and Public Safety as authorized by 
G.S. 18B-500. 

(3) "Commission" means the North Carolina Criminal 
Justice Education and Training Standards 
Commission. 

(4) "Commission of an offense" means a finding by the 
North Carolina Criminal Justice Education and 
Training Standards Commission or an administrative 
body that a person performed the acts necessary to 
satisfy the elements of a specified criminal offense. 

(5) "Convicted" or "Conviction" means and includes, for 
purposes of this Chapter, the entry ofi 

(a) a plea of guilty: 

(b) a verdict or finding of guilt by a jur). judge. 
magistrate, or other duly constituted. 



established, and recognized adjudicating bod\, 
tribunal, or official, either civilian or militan, ; 
or 
(c) a plea of no contest, nolo contendere, or the 
equivalent. 

(6) "Correctional Officer" means an\ emplo\ee of the 
North Carolina Department of Correction who is 
responsible for the custody or treatment of inmates. 

(7) "Criminal Justice Officer(s)" means those officers 
identified in G.S. 17C-2(c) and further includes 
probation and parole intake officers: probation parole 
officers-surveillance: probation parole intensive 
officers; and, state parole case analysts. 

(8) "Criminal Justice System" means the whole of the 
State and local criminal justice agencies described in 
Item (l)ofthis Rule. 

(9) "Criminal Justice Training Points" means points 
earned toward the Criminal Justice Officers' 
Professional Certificate Program by successful 
completion of commission-approved criminal justice 
training courses. Twenty classroom hours of 
commission-approved criminal justice training equals 
one criminal justice training point. 

(10) "Department Head" means the chief administrator of 
any criminal justice agency and specificalK' includes 
any chief of police or agency director. "Department 
Head" also includes a designee formally appointed in 
writing by the Department head. 

(11) "Director" means the Director of the Criminal Justice 
Standards Division of the North Carolina Department 
of Justice. 

(12) "Educational Points" means points earned toward the 
Professional Certificate Programs for studies 
satisfactorily completed for semester hour or quarter 
hour credit at an accredited institution of higher 
education. Each semester hour of college credit 
equals one educational point and each quarter hour of 
college credit equals two-thirds of an educational 
point. 

(13) "Enrolled" means that an individual is currently 
activeK participating in an on-going formal 
presentation of a commission-accredited basic training 
course which has not been concluded on the day 
probationan, certification expires. The term 
"currently actively participating" as used in this 
definition means: 

(a) for law enforcement officers, that the officer is 
then attending an approved course presentation 
averaging a minimum of twelve hours of 
instruction each week: and 

(b) for Youth Services and Department of 
Correction personnel, that the officer is then 
attending the last or final phase of the approved 
training course necessan for fulK satisfying 
the total course completion requirements. 

(14) "High School" means a school accredited as a high 
school by: 

(a) the Department or board of education of the 



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state in which the school is located; or 

(b) the recognized regional accrediting body; or 

(c) the state universit>' of the state in which the 
school is located. 

(15) "In-Service Training" means any and all training 
prescribed in Subchapter 9E Rule .0102 which must 
be satisfactorily completed by all certified law 
enforcement officers during each full calendar year of 
certification. 

(16) "Lateral Transfer" means the employment of a 
criminal justice officer, at any rank, by a criminal 
justice agency, based upon the officer's special 
qualifications or experience, without following the 
usual selection process established by the agency for 
basic officer positions. 

(17) "Law Enforcement Code of Ethics" means that code 
adopted by the Commission on September 19, 1973, 
which reads: 

As a law enforcement officer, my fundamental duty is to serve 
the community; to safeguard lives and property; to protect the 
innocent against deception, the weak against oppression or 
intimidation, and the peaceful against violence or disorder; and 
to respect the constitutional rights of all to libert\, equality, and 
justice. 

1 will keep my private life unsullied as an example to all. and 
will behave in a manner that does not bring discredit to me or to 
my agency. I will maintain courageous calm in the face of 
danger, scorn, or ridicule; develop self-restraint; and be 
constantly mindful of the welfare of others. Honest in thought 
and deed both in my personal and official life, I will be 
exemplary in obeying the law and the regulations of my 
department. Whatever I see or hear of a confidential nature or 
that is confided to me in my official capacity will be kept ever 
secret unless revelation is necessar)' in the performance of my 
duty. 

I will never act officiously or permit personal feelings, 
prejudices, political beliefs, aspirations, animosities or 
friendships to influence my decisions. With no compromise for 
crime and with relentless prosecution of criminals. I will enforce 
the law courteously and appropriately without fear or favor, 
malice or ill will, never employing unnecessan.' force or violence 
and never accepting gratuities. 

I recognize the badge of my office as a symbol of public faith, 
and I accept it as a public trust to be held so long as I am true to 
the ethics of the police service. I will never engage in acts or 
corruption or bribery, nor will I condone such acts by other 
police officers. I will cooperate with all legally authorized 
agencies and their representatives in the pursuit of justice. 

I know that I alone am responsible for my own standard of 
professional performance and will take every reasonable 
opportunit\ to enhance and improve my level of knowledge and 
competence. 

I will constantly strive to achieve these objectives and ideals, 
dedicating myself before God to my chosen profession. ..law 
enforcement. 

( 18) "Law Enforcement Officer" means an appointee of a 
criminal justice agency or of the State or of any 
political subdivision of the State who. by virtue of his 



office, is empowered to make arrests for violations of 
the laws of this State. Specifically excluded from this 
title are sheriffs and their sworn appointees with arrest 
authority who are governed by the provisions of 
Chapter 17E of the General Statutes. 

(19) "Law Enforcement Training Points" means points 
earned toward the Law Enforcement Officers' 
Professional Certificate Program by successful 
completion of commission-approved law enforcement 
training courses. Twenty classroom hours of 
commission-approved law enforcement training 
equals one law enforcement training point. 

(20) "LIDAR" means a speed-measuring instrument that 
electronically computes, from transmitted infrared 
light pulses, the speed of a vehicle under observation. 

(21) "Local Confinement Personnel" means any officer, 
supervisor or administrator of a local confinement 
facility in North Carolina as defined in G.S. 
1 53A-217; any officer, supervisor or administrator of 
a county confinement facility in North Carolina as 
defined in G.S. 153A-218; or, any officer, supervisor 
or administrator of a district confinement facility in 
North Carolina as defined in G.S. I53A-2I9. 

(22) "Misdemeanor" means those criminal offenses not 
classified under the laws, statutes, or ordinances as 
felonies. Misdemeanor offenses are classified by the 
Commission as follows: 

(a) "Class A Misdemeanor" means a misdemeanor 
committed or omitted in violation of any 
common law, dul\ enacted ordinance or 
criminal statute of this state which is not 
classified as a Class B Misdemeanor pursuant 
to Sub-item (22)(b) of this Rule. Class A 
Misdemeanor also includes any act committed 
or omitted in violation of an\ common law. 
duK enacted ordinance, criminal statute, or 
criminal traffic code of any jurisdiction other 
than North Carolina, either civil or militarv', for 
which the maximum punishment allowable for 
the designated offense under the laws, statutes, 
or ordinances of the jurisdiction in which the 
offense occurred includes imprisonment for a 
term of not more than six months. Specitlcall\ 
excluded from this grouping of "Class A 
Misdemeanor" criminal offenses for 
jurisdictions other than North Carolina, are 
motor vehicle or traffic offenses designated as 
misdemeanors under the laws of other 
jurisdictions, or duly enacted ordinances of an 
authorized governmental entity with the 
exception of the offense of impaired driving 
which is expressly included herein as a Class A 
Misdemeanor if the offendei i.ould have been 
sentenced for a term of not more than six 
months. Also specitlcalK' included herein as a 
Class A Misdemeanor is the offense of 
impaired driving, if the offender was sentenced 
under punishment level three [G.S. 20-179(1)], 



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level four [G.S. 20-I79(j)], or level five [G.S. 20-1 79(k)]. Class 
A Misdemeanor shall also include acts committed or omitted in 
North Carolina prior to October 1. 1994 in violation of any 
common law. duK enacted ordinance or criminal statute, of this 
state for which the maximum punishment allowable for the 
designated offense included imprisonment for a term of not more 
than six months. 

(b) "Class B Misdemeanor" means an act 
committed or omitted in violation of any 
common law. criminal statute, or criminal 
traffic code of this state which is classified as 
a Class B Misdemeanor as set forth in the 
Class B Misdemeanor manual as published b\ 
the North Carolina Department of Justice 
which is herebv incorporated by reference and 
shall automaticalK include an\ later 
amendments and editions of the incorporated 
material as provided by G.S. 150B-21.6. 
Copies of the publication may be obtained 
from the North Carolina Department of Justice, 
Post Oftlce Box 629, Raleigh, North Carolina 
27602. There is no cost per manual at the time 
of adoption of this Rule. Class B 
Misdemeanor also includes an\ act committed 
or omitted in violation of an\ common law. 
duK enacted ordinance, criminal statute, or 
criminal traffic code of anN jurisdiction other 
than North Carolina, either ci\ il or military, for 
which the maximum punishment allowable for 
the designated offense under the laws, statutes, 
or ordinances of the jurisdiction in which the 
offense occurred includes imprisonment for a 
term of more than six months but not more than 
two years. Specifically excluded from this 
grouping of "Class B Misdemeanor" criminal 
offenses for jurisdictions other than North 
Carolina, are motor vehicle or traffic offenses 
designated as being misdemeanors under the 
laws of other jurisdictions with the following 
exceptions: Class B Misdemeanor does 
expressK include, either first or subsequent 
offenses of driving while impaired if the 
maximum allowable punishment is for a term 
of more than six months but not more than two 
years, and driving while license permanently 
revoked or permanentK suspended. "Class B 
Misdemeanor" shall also include acts 
committed or omitted in North Carolina prior 
to October 1. 1994 in violation of an\ common 
law. duK enacted ordinance, criminal statute, 
or criminal traffic code of this state for which 
the maximum punishment allowable for the 
designated offense included imprisonment for 
a term of more than six months but not more 
than two \ears. 
(23) "Parole Case AnaKst" means an employee of the 
North Carolina Department of Correction who works 
under the supervision of the North Carolina Parole 



Commission, whose duties include anaKzing and 
processing cases under consideration for parole, 
preparing and presenting parole recommendations, 
analyzing and processing executive clemenc\ matters 
and interviewing inmates. 

(24) "Pilot Courses" means those courses developed 
consistent with the curriculum development policy 
adopted b\ the Commission on Ma\ 30. 1986. This 
policN shall be administered b\ the Education and 
Training Committee of the Commission consistent 
with I2NCAC9C .0404. 

(25) "Probation/Parole OfTicer" means an emplo\ee of the 
Division of Adult Probation and Parole whose duties 
include superv ising. evaluating, treating, or instructing 
offenders placed on probation or parole or assigned to 
any other community-based program operated b> the 
Division of Adult Probation and Parole. 

(26) "Probation/Parole Intake Officer" means an employee 
of the Division of Adult Probation and Parole, other 
than a regular Probation Parole officer, whose duties 
include conducting, preparing, or delivering 
investigations, reports, and recommendations, either 
before or after sentencing, upon the request or referral 
of the court, the Parole Commission, or the Director 
of the Division of Adult Probation and Parole. 

(27) "Probation/Parole Intensive Officer" means an 
emplo\ee of the Division of Adult Probation and 
Parole other than a regular probation/parole officer, 
probation/parole intake officer, and probation parole 
officer-surveillance who is dul\ sworn, empowered 
with the authority of arrest and is an authorized 
representative of the courts of North Carolina and the 
Department of Correction, Division of Adult 
Probation and Parole, whose duties include 
supervising, investigating, reporting, counseling, 
treating, and surveillance of serious offenders in an 
intensive probation and parole program operated by 
the Division of Adult Probation and Parole who 
serves as the lead officer in such a unit. 

(28) "Probation/ Parole Officer - Surveillance" means an 
employee of the Division of Adult Probation and 
Parole other than a regular probation/parole and a 
probation parole intake officer who is duK sworn, 
empowered with the authority of arrest and is an 
authorized representative of the courts of North 
Carolina and the Department of Correction. Division 
of Adult Probation and Parole whose duties include 
supervising, investigating, reporting, and surveillance 
of serious offenders in an intensive probation and 
parole program operated bv the Division of Adult 
Probation and Parole who is trained in communirv 
corrections and law enforcement techniques. 

(29) "Radar" means a speed-measuring instrument that 
transmits microwave energy in the 10.500 to 10.550 
MHZ frequencv (X) band or transmits microwave 
energy in the 24.050 to 24.250 MHZ frequencv (K) 
band and either of which operates in the stationary' 
and/or moving mode. "Radar" further means a speed- 



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measuring instrument that transmits microwave 
energy in the 33.400 to 36,000 MHZ (Ka) band and 
operates in either the stationary or moving mode. 

(30) "Resident" means any youth committed to a facility 
operated by the North Carolina Division of Youth 
Services. 

(31) "School" or "criminal justice school" means an 
institution, college, university, academy, or agency 
which offers criminal Justice, law enforcement, penal, 
correctional, or traffic control and enforcement 
training for criminal justice officers or law 
enforcement officers. "School" includes the criminal 
justice training course curriculum, instructors, and 
facilities. 

(32) "School Director" means the person designated by the 
sponsoring institution or agency to administer the 
criminal justice school. 

(33) "Speed-Measuring Instruments" (SMI) means those 
devices or systems, including radar time-distance, and 
LIDAR. formally approved and recognized under 
authority of G.S. 17C-6(a)(13) for use in North 
Carolina in determining the speed of a vehicle under 
observation and particularly includes all named 
devices or systems as specifically referenced in the 
approved list of 1 2 NCAC 9C .060 1 . 

(34) "Standards Division" means the Criminal Justice 
Standards Division of the North Carolina Department 
of Justice. 

(3,'>) "Time-Distance" means a speed-measuring instrument 
that electronicalK computes, from measurements of 
time and distance, the average speed of a vehicle 
under observation. 

(36) "State Youth Services Officer" means an employee of 
the North Carolina Division of Youth Services whose 
duties include the evaluation, treatment, instruction, or 
supervision of juveniles committed to that agency. 

History Note: Filed as a Temporary Amendment Eff. October 

I. 1994 for a period of 180 days to expire on April 1. 1995: 

Filed as a Temporary Amendment Eff. December 14. 1983 for 

a period of 120 days to expire on April 12. 1984: 

Authority G.S. nC-2: I7C-6: HC-IO: 153A-217: 

Eff. Januaty 1 . 1981: 

Amended Eff. November 1. 1981: .August 15. 1981: 

Readopted Eff July 1. 1982: 

Amended Eff April 1. 1999: August 1. 1998: January I. 1995: 

November 1. 1993: March 1. 1990: 

July 1. 1989. 

SUBCHAPTER 9B - STANDARDS FOR CRIMINAL 

JUSTICE EMPLOYMENT: EDUCATION: AND 

TRAINING 

SECTION .0100 - MINIMUM STANDARDS FOR 
CRIMINAL JUSTICE EMPLOYMENT 



.0101 MINIMUM STANDARDS FOR CRIMINAL 
JUSTICE OFFICERS 

Ever\ criminal justice officer employed by an agency in North 
Carolina shall: 

(1) be a citizen of the United States; 

(2) be at least 20 years of age; 

(3) be of good moral character pursuant to G.S. 17C-10 
and as determined by a thorough background 
investigation; 

(4) have been fingerprinted and a search made of local, 
state, and national files to disclose any criminal 
record; 

(5) have been examined and certified by a licensed 
physician or surgeon to meet physical requirements 
necessary to properly fulfill the officer's particular 
responsibilities and shall have produced a negative 
result on a drug screen administered according to the 
following specifications: 

(a) the drug screen shall be a urine test consisting 
of an initial screening test using an 
immunoassay method and a confirmatory test 
on an initial positive result using a gas 
chromatography/mass spectrometry (GC/MS) 
or other reliable initial and confirmatory tests 
as may. from time to time, be authorized or 
mandated by the Department of Health and 
Human Services for Federal Workplace Drug 
Testing Programs; 

(b) a chain of custody shall be maintained on the 
specimen from, collection to the eventual 
discarding of the specimen; 

(c) the drug screen shall test for the presence of at 
least cannabis, cocaine, phencyclidine (PCP), 
opiates and amphetamines or their metabolites; 

(d) the test threshold values established b\ the 
Department of Health and Human Services for 
Federal Workplace Drug Testing Programs, as 
found in 53 C.F.R. 11970. are hereby 
incorporated b\' reference, and shall 
automatically include an\ later amendments 
and editions of the incorporated material as 
provided by G.S. 1 508-21. 6; 

(e) the test conducted shall be not more than 60 
days old. calculated from the time when the 
laboratory, reports the results to the date of 
employment; 

(f) the laboratory conducting the test must be 
certified for federal workplace drug testing 
programs, and must adhere to applicable 
federal rules, regulations and guidelines 
pertaining to the handling, icstin^'j jtorage and 
preservation of samples, except tiiat iiidividual 
agencies may specify other drugs to be tested 
for in addition to those drugs set out in 
Subparagraph (c) of this Rule; 

(6) have been administered a psychological screening 
examination by a clinical psychologist or psychiatrist 
licensed to practice in North Carolina or by a clinical 



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psychologist or psychiatrist authorized to practice in 
accordance with the rules and regulations of the 
United States Armed Forces within one \ear prior to 
emplo\ment by the employing agency to determine 
the officer's mental and emotional suitability to 
properly fulfill the responsibilities of the position; 

(7) have been interv iewed personalK b\ the Department 
head or his representative or representatives, to 
determine such things as the applicant's appearance, 
demeanor, attitude, and ability to communicate; 

(8) notify the Standards Division of all criminal offenses 
which the officer is arrested for or charged with, 
pleads no contest to. pleads guilty to or is found guilt\ 
of This shall include all criminal offenses except 
minor traffic offenses and shall specifically include 
any offense of Driving Under The Influence ( DUI ) or 
Driving While Impaired (DWI). A minor traffic 
ofTense is defined, for purposes of this Subparagraph, 
as an offense where the maximum punishment 
allowable by law is 60 days or less. Other offenses 
under Chapter 20 (Motor Vehicles) of the General 
Statutes of North Carolina or similar laws of other 
jurisdictions which shall be reported to the Standards 
Division expressK include G.S. 20-139 (persons 
under influence of drugs). G.S. 20-28(b) (driving 
while license permanently revoked or permanently 
suspended) and G.S. 20-166 (duty to stop in event of 
accident). 

The notifications required under this Subparagraph 
must be in writing, must specify the nature of the 
offense, the court in which the case was handled, the 
date of the arrest or criminal charge, the final 
disposition, and the date thereof The notifications 
required under this Subparagraph must be received by 
the Standards Division within 30 da\s of the date the 
case was disposed of in court. 
The requirements of this Subparagraph shall be 
applicable at all times during which the officer is 
certified by the Commission and shall also appK to all 
applications for certification. 

Officers required to notify the Standards Division 
under this Subparagraph shall also make the same 
notification to their employing or appointing 
executive officer within 20 days of the date the case 
was disposed of in court. The executive officer, 
provided he has knowledge of the officer's arrest(s) or 
criminal charge(s) and final disposition(s), shall also 
notify the Standards Division of all arrests or criminal 
charges and final dispositions within 30 days of the 
date the case was disposed of in court. Receipt b\ the 
Standards Division of a single notification, from 
either the officer or the executive officer, is sufficient 
notice for compliance with this Subparagraph. 

History \'(>te: Authority G.S. rC-6: I'C-IO: 

Eff. January I. I9,SI: 

Amended Eff. April I. 1999: Jaimaiy I. 1995: Soycmbcr I. 

1 993:. July 1. 1990. 



SECTION .0200 - MINIMUM STANDARDS FOR 

CRIMINAL JUSTICE SCHOOLS AND CRIMINAL 

JUSTICE TRAINING PROGRAMS OR COURSES OF 

INSTRUCTION 

.0205 BASIC TRAINING -- LAW ENFORCEMENT 
OFFICERS 

(a) The basic training course for law enforcement officers 
consists of instruction designed to provide the trainee with the 
skills and knowledge to perform those tasks essential to function 
in law enforcement. 

(b) The course entitled "Basic Recruit Training — Law 
Enforcement" shall consist of a minimum of 460 hours of 
instruction and shall include the following identified topic areas 
and minimum instructional hours for each area: 

( 1 ) Course Orientation 2 Hours 

(2) Constitutional Law 4 Hours 

(3) Laws of Arrest, Search and Seizure 16 Hours 

(4) Mechanics of Arrest; Arrest Procedures 8 Hours 

(5) Law Lnforcement Communications and Information 
Systems 4 Hours 

(6) Elements of Criminal Law 24 Hours 

(7) Defensive Tactics 16 Hours 

(8) Juvenile Lav\s and Procedures 8 Hours 

(9) First Responder 40 Hours 

( 10) Firearms 40 Hours 

(11) Patrol Techniques 16 Hours 

(12) Crime Prevention Techniques 4 Hours 

(13) Field Notetaking and Report Writing 12 Hours 

(14) Mechanics of Arrest; Vehicle Stops 6 Hours 

(15) Mechanics of Arrest; Custodv Procedures 2 Hours 

(16) Mechanics of Arrest; Processing Arrestee 4 Hours 

(17) Crisis Management 10 Hours 

(18) Special Populations 12 Hours 

(19) Civil Disorders 8 Hours 

(20) Criminal Investigation 28 Hours 

(21) Interviews: Field and In-Custody 8 Hours 

(22) Controlled Substances 6 Hours 

(23) ABC Laws and Procedures 4 Hours 

(24) Electrical and Hazardous Materials 
Emergencies 12 Hours 

(2.'^) Motor Vehicle Laws 20 Hours 

(26) Techniques of Traffic Law Enforcement 6 Hours 

(27) Traffic Accident Investigation 20 Hours 

(28) Law Enforcement Driver Training 44 Hours 

(29) Preparing for Court and Testifying in 

Court 12 Hours 

(30) Dealing with Victims and the Public 4 Hours 

(31) Ethics of Professional Law Lnforcement 4 Hours 

(32) Testing 13 Hours 

(33) Phvsical Fitness 43 Hours 

(c) The "Basic Law Enforcement Training Manual" as 
published b\ the North Carolina Justice Academ> is to be 
applied as basic curriculum for this basic training course for law 
enforcement officers as administered b\ the Commission. 
Copies of this publication nia\ be inspected at the office of the 
agencv: 



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Criminal Justice Standards Division 

North Carolina Department of Justice 

114 WestEdenton Street 

Old Education Building 

Post Office Drawer 1 49 

Raleigh, North Carolina 27602 

and may be obtained from the Academy at the following address: 

North Carolina Justice Academy 

Post Office Drawer 99 
Salemburg, North Carolina 28385 

(d) The "Basic Law Enforcement Training Course 
Management Guide" as published b\ the North Carolina Justice 
Academy is to be used by certified school directors in planning, 
implementing and delivering basic training courses. Each 
certified school director shall be issued a copy of the guide at the 
time of certification at no cost to the accredited school. The 
public may obtain copies of this guide from the Justice 
Academy. 

History Note: Filed as a Temporary Amendment Eff. 

December 14. 1983 for a period of 120 days to expire on April 

12. 1984: 

Authority G.S. 17C-6: 17C-10; 

Eff. January 1. 1981: 

.4mended Eff. November 1. 1998: My 1. 199'^: January 1. 1995: 

February f. 1991: July 1, 1989. 



Critique 6 Hours 

(13) Student Performance: 

First 30-Minute Presentation 7 1/2 Hours 

Second 30-Minute Presentation 7 1/2 Hours 

Final 80-Minute Presentation 12 Hours 

(14) Examination 1 1/2 Hours 
(d) The "Basic Instructor Training Manual" as published by 

the North Carolina Justice Academy is to be applied as the basic 
curriculum for delivery of basic instructor training courses. 
Copies of this publication may be inspected at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh, North Carolina 27602 

and may be purchased from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Drawer 99 
Salemburg. North Carolina 28385 

History Note: Authority- G.S. 17C-6: 

Eff. January- 1. 1981: 

Amended Eff. November 1. 1998: January 1. 1995: March 1. 

1 990: Julv 1, 1 989: January 1. 1 985. 



.0209 CRIMINAL JUSTICE INSTRUCTOR 

TRAINING 

(a) The instructor training course required for general 
instructor certification shall consist of a minimum of 80 hours of 
instruction presented during a continuous period of not more 
than two weeks. 

(b) Each instructor training course shall be designed to 
provide the trainee with the skills and knowledge to perform the 
function of a criminal justice instructor. 

(c) Each instructor training course shall include as a minimum 
the following identified topic areas and minimum instructional 
hours for each area: 

(1) Orientation and Pretest 2 1/2 Hours 

(2) Curriculum Development: ISD Model i 1 '2 Hours 

(3) Civil Liabilit) for Law Enforcement 

Trainers 2 Hours 

(4) Interpersonal Communication in 

Instruction 6 Hours 

(5) Lesson Plan Preparation: Professional 
Resources 1 I '2 Hours 

(6) Lesson Plan Preparation: Format and 
Objectives 6 Hours 

(7) Teaching Adults 6 Hours 

(8) Principles of Instruction: Demonstration Methods and 
Practical Exercise 6 Hours 

(9) Methods and Strategies of Instruction 4 Hours 

(10) The Evaluation Process 4 Hours 

(11) Principles of Instruction: Audio- 
Visual Aids 6 Hours 

(12) Student 1 0-M inute Talk and Video 



.0210 RADAR INSTRUCTOR TRAINING COURSE 

(a) The radar instructor training course shall be designed to 
provide the trainee with the skills and knowledge to proficiently 
perform the function of a criminal justice radar instructor. This 
course shall be for a period not to exceed six consecutive weeks. 

(b) The radar instructor training course required for radar 
instructor certification shall include but not be limited to the 
topic areas and minimum number of hours as outlined in The 
Radar Instructor Training Course. To qualify for radar instructor 
certification, an applicant shall meet the minimum requirements 
as outlined in The Radar Instructor Training Course and meet 
the requirements of 12 NCAC 98 .0408 and .0409. 

(c) Each applicant for radar instructor training shall: 

( 1 ) Present the endorsement of a commission-recognized 
school director or agency executive officer or his 
designee. 

(2) Possess criminal Justice general instructor 
certification as required in 12 NCAC 9B .0302. 

(3) Possess a current and valid radar operator 
certification. 

(d) The "Radar Instructor Training Course" as published b\ 
the North Carolina Justice Academy is to be applied as basic 
curriculum for the radar instructor training course for radar 
instructors as administered b\' the Commission. Copies of tins 
publication may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 1 49 



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Raleigh, North Carolina 27602 
and mav be obtained at cost from the Academy at the following 
address: 

North Carolina Justice Academy 

Post OtTice Box 99 
Salemburg. North Carolina 28385 

(e) Commission-accredited schools that are accredited to offer 
the "Radar Instructor Training Course" are: The North Carolina 
Justice Academ\. 

History Note: Authority G.S. l"C-6: 

Eff. November I. I9H1: 

Reudopted vv change Eff. July 1. I9.s:: 

Amended Eff. April I. 1999: November I. 199S: Aiii^ust 1. 1995: 

July I. 1989: February 1. 19H~: August 1. 198-t. 

.0211 TIME-DISTANCE INSTRUCTOR TRAINING 
COURSE 

(a) The time-distance instructor training course shall be 
designed to provide the trainee with the skills and knowledge to 
protlcientl> perform the function of a time-distance instructor. 
This course shall be for a period not to exceed eight consecutive 
weeks. 

(b) Each applicant for the time-distance speed measurement 
instrument instructor training course shall meet the minimum 
entr> requirements of 12 NCAC 9B .0210(c)( 1 ) and (2) and 12 
NCAC 98 .0309. The time-distance instructor training course 
required for time-distance instructor certification shall include 
but not be limited to the topic areas and minimum number of 
hours as outlined in The Time-Distance Instructor Training 
Course. To quality for time-distance instructor certification, an 
applicant shall meet the minimum requirements as outlined in 
The Time-Distance Instructor Training Course and meet the 
requirement of 12 NCAC 9B .0408 and .0409. 

(c) The "Time-Distance Instructor Training Course" as 
published by the North Carolina Justice Academy is to be 
applied as basic curriculum for the criminal justice time-distance 
speed measurement instrument instructor training course for 
time-distance speed measurement instructors as administered by 
the Commission. Copies of this publication ma\ be inspected at 
the office of the agenc\ : 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 1 49 

Raleigh. North Carolina 27602 

and mav be obtained at cost from the Academv at the following 

address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg, North Carolina 28385 

(d) Commission-accredited schools that are accredited to 
offer the "Time Distance Instructor Training Course" are: The 
North Carolina Justice Academv. 



History Note: Authority U.S. l~C-6: 

Eff. November 1, 1981: 

Readoptedw change Eff. July 1. 1982: 

Amended Eff April 1. 1999: November 1. 1998: November 1, 

1993: July 1. 1989: February 1. 198^: .August 1. 1984. 

.0212 CERTIFICATION TRAINING FOR RADAR 
OPERATORS 

(a) The radar operator training course for law enforcement 
officers shall be designed to provide the trainee with the skills 
and knowledge to proficiently perform the function of a law 
enforcement radar operator. This course shall be for a period not 
to exceed four consecutive weeks. 

(b) Only emploved or appointed personnel of a law 
enforcement agency shall be enrolled in the radar operator 
training course. Such a trainee shall not be certified as a radar 
operator until the basic law enforcement training course has been 
successfulK completed and probationary or general law 
enforcement certification has been granted. Sheriffs, deputy 
sheriffs and federal law enforcement personnel, including but 
not limited to armed forces personnel, shall be allowed to 
participate in radar operator training courses on a space available 
basis at the discretion of the school director v\ithout having 
enrolled in or having successfulK completed the basic law 
enforcement training course and without being currently certified 
in a probationary status or hold general law enforcement 
certification. The radar operator training course required for 
radar operator certification shall include but not be limited to the 
topic areas and minimum number of hours as outlined in The 
Radar Operator Training Course. To qualifS for radar operator 
certification, an applicant shall meet the minimum requirements 
as outlined in The Radar Operator Training Course and meet the 
requirements of 12 NCAC 9B .0408 and .0409. 

(c) The "Radar Operator Training Course" as published by 
the North Carolina Justice Academv is to be applied as basic 
curriculum for the radar operator training course for radar 
operators as administered by the Commission. Copies of this 
publication ma\ be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh, North Carolina 27602 

and may be obtained at cost from the Academv at the follow ing 

address: 

North Carolina Justice Academv 

Post Office Box 99 
Salemburg. North Carolina 28385 

Histoiy Note: Filed as a Temporary Amendmcni Eff 

February 24. 1984 fir a period of 120 days to expire on .June 

22. 1984: 

Authority G.S. 17C-6: 

Eff November 1. 1981: 

Readopted w change Eff Jidy I. 1982: 

Amended Eff. .April 1. 1999: November 1. 1998:. August 1. 1995: 

Februaiy I. 1991: July 1. 1989: August 1. 1984. 



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.0213 CERTIFICATION TRAINING FOR 

RADAR/TIME-DISTANCE OPERATORS 

(a) The radar/time-distance operator training course for law 
enforcement officers shall be designed to provide the trainee 
with the skills and knowledge to proficiently perform the 
function of a radar/time-distance operator. This course shall be 
for a period not to exceed four consecutive weeks. 

(b) Only employed or appointed personnel of a law 
enforcement agency may be enrolled in the radar and 
time-distance speed measurement instrument operator training 
course. Such a trainee shall not be certified as a radar and 
time-distance speed measurement instrument operator until the 
basic law enforcement training course has been successfully 
completed and probationary, or general law enforcement 
certification has been granted. Sheriffs, deputy sheriffs, and 
federal law enforcement personnel, including but not limited to 
armed forces personnel, shall be allowed to participate in radar 
and time-distance speed measurement instrument operator 
training courses on a space available basis at the discretion of the 
school director without having enrolled in or having successfully 
completed the basic law enforcement training course and without 
being currently certified in a probationary status or holding 
general law enforcement certification. The radar/time-distance 
operator training course required for radar/time-distance operator 
certification shall include but not be limited to the topic areas 
and minimum number of hours as outlined in The Radar/Time- 
Distance Operator Training Course. To qualify for radar/time- 
distance operator certification, an applicant shall meet the 
minimum requirements as outlined in The Radar/Time-Distance 
Operator Training Course and meet the requirements of 12 
NCAC 9B .0408 and .0409. 

(c) The "Radar/Time-Distance Operator Training Course" as 
published by the North Carolina Justice Academy is to be 
applied as basic curriculum for the radar/time-distance operator 
training course for radar/time-distance instrument operators as 
administered by the Commission. Copies of this publication 
may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 1 49 

Raleigh, North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

His lory Note: Authority G.S. 1 7C-6: 

Eff. November 1 . 1981: 

Readoptedw/change Eff. July 1. 1982: 

Amended Eff. April 1. 1999: November 1. 1998: .August 1. 1995: 

Fehruaiy 1. 1991: July I. 1989: August 1. 1984. 



.0214 CERTIFICATION TRAINING 
DISTANCE OPERATORS 



FOR TIME- 



(a) The time-distance operator training course for law 
enforcement officers shall be designed to provide the trainee 
with the skills and knowledge to proficiently perform the 
function of a time-distance operator. This course shall not 
exceed four consecutive weeks. 

(b) Only employed or appointed personnel of a law 
enforcement agency may be enrolled in the time-distance speed 
measurement operator training course. Such a trainee shall not 
be certified as a time-distance speed measurement operator until 
the basic law enforcement training course has been successfully 
completed and probationar\ or general law enforcement 
certification has been granted. Sheriffs. deput>' sheriffs, and 
federal law enforcement personnel, including but not limited to 
armed forces personnel, shall be allowed to participate in 
time-distance speed measurement operator training courses on 
a space available basis at the discretion of the school director 
without having enrolled in or having successfully completed the 
basic law enforcement training course and without being 
currently certified in a probationary status or holding general law 
enforcement certification. The time-distance operator training 
course required for time-distance operator certification shall 
include but not be limited to the topic areas and minimum 
number of hours as outlined in The Time-Distance Operator 
Training Course. To qualify for time-distance operator 
certification, an applicant shall meet the minimum requirements 
as outlined in The Time-Distance Operator Training Course and 
meet the requirements of 12 NCAC 9B .0408 and .0409. 

(c) The "Time-Distance Operator Training Course" as 
published by the North Carolina Justice Academy is to be 
applied as basic curriculum for the time-distance operator 
training course for time-distance operators as administered by 
the Commission. Copies of this publication may be inspected at 
the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma> be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

Histoiy Note: Authority G.S. rC-6: 

Eff. November 1 . 1981: 

Readopted w/change Eff. July 1. 1982: 

Amended Eff. April 1. 1999: November 1. 1998: August 1. 1995: 

February 1. 1991: July 1. 1989: August 1. 1984. 

.0215 SUPPLEMENTAL SMI TRAINJNC 

(a) The supplemental speed measuring instrunient (SMh 
training course for law enforcement officers shall be designed to 
provide the trainee with the skills and know ledge to proficientK 
perform those tasks essential to function as an instructor or 
operator using the additional speed measuring instrument{s). 

(b) Each applicant for supplemental speed measuring 



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instrument training shall: 

( 1 ) possess a valid radar and or time-distance speed 
measuring instrument instructor or operator 
certification as a result of successful completion of 1 2 
NCAC 9B .02 1 0, .02 1 1 . .02 1 2. .02 1 3 or .02 1 4. 

(2) present the endorsement of a commission-recognized 
school director or agencv executive officer or his 
designee. 

(c) The supplemental SMI training course required for 
certification, on the additional instrument(s). shall include but 
not be limited to the topic areas and minimum number of hours 
as outlined in The Supplemental SMI Training Course. To 
qualifv for certification, on the additional instrument(s). an 
applicant shall meet the minimum requirements as outlined in 
The Supplemental SMI Training Course and meet the 
requiremems of 12 NCAC 9B .0408 and .0409. 

(d) Certification as instructor and or operator of the additional 
speed measuring instruments shall expire on midnight of the date 
of expiration of the instructor and/or operator certification 
referred to in 12 NCAC 9B .02 15(b) and .0310(a). 

(e) The "Supplemental SMI Training Course" as published b\ 
the North Carolina Justice Academy is to be applied as basic 
curriculum for the supplemental SMI training course for SMI 
instructors or operators as administered by the Commission. 
Copies of this publication may be inspected at the office of the 
agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address; 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

(f) Commission-accredited schools that are accredited to offer 
the "Supplemental SMI Training Course" for Instructors are: 
The North Carolina Justice Academy. 

History Note: Authority G.S. 1 ~C-6: 
Eff. November I. 1981: 
Readopted Efl July 1. 1W2: 
AmendedEtl April 1. 1999. 

.0218 RE-CERTIFICATION TRAINING FOR RADAR 
INSTRUCTORS 

(a) The radar instructor re-certification training course shall 
be designed to provide the instructor with the skills and 
knov\ ledge to continue to proficiently perform the function of a 
criminal justice radar instructor. This course shall be presented 
within a period not to exceed one week. 

(b) Each applicant for a radar instructor retraining course 
shall: 

( 1 ) possess criminal justice general instructor certification 
as required in 1 2 NCA(: 9B .0302; 

(2) have been certified as a radar instructor within the 
three years preceding the completion date of the 



retrammg course. 

(c) The radar instructor re-certification training course 
required for radar instructor re-certification shall include but not 
be limited to the topic areas and minimum number of hours as 
outlined in The Radar Instructor Training Course. To qualify for 
radar instructor re-certification, an applicant shall meet the 
minimum requirements as outlined in The Radar Instructor 
Training Course and meet the requirements of 12 NCAC 9B 
.0408 and .0409. 

(d) The "Radar Instructor Training Course" as published by 
the North Carolina Justice Academy is to be applied as basic 
curriculum for the radar instructor re-certification training course 
for radar instructors as administered by the Commission. Copies 
of this publication may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address; 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg, North Carolina 28385 

(e) Commission-accredited schools that are accredited to offer 
the "Radar Instructor Re-Certiflcation Training Course" are: 
The North Carolina Justice Academy. 

History Note: Authority G.S. l^C-S: 

EJf. July 1. 1983: 

Amended Eff. April 1. 1999: July 1. 1989: February 1. 1987. 

.0219 RE-CERTIFICATION TRAINING FOR TIME- 
DISTANCE INSTRUCTORS 

(a) The time-distance instructor re-certification training 
course shall be designed to pro\ide the instructor uith the skills 
and knowledge to continue to proficiently perform the function 
of a criminal justice time-distance instructor. This course shall 
be presented w ithiii a period not to exceed one week. 

(b) Each applicant for the time-distance instructor retraining 
course shall: 

(1) Meet the minimum entry requirements of 12 NCAC 
9B .0218(b) and in addition thereto shall ha\e 
successfully completed the retraining courses of 12 
NCAC 9B '0218(c). 

(2) Have been certified as a time-distance instructor 
w ithin the three years preceding the completion date 
of the retraining course. 

(c) The time-distance instructor re-certiflcation training 
course required for time-distance instructor re-certiflcation shall 
include but not be limited to the topic areas and minimum 
number of hours as outlined in The Time-Distance Instructor 
Training Course. To qualify for time-distance instructor re- 
certiflcation, an applicant shall meet the minimum requirements 
as outlined in The Time-Distance Instruct Training Course and 
meet the requirements of 12 NCAC 98 .0408 and .0409. 

(d) The "Time-Distance Instructor Training Course" as 
published b\ the North Carolina Justice Academy is to be 



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1180 



APPROVED RULES 



applied as basic curriculum for the time-distance instructor re- 
certification training course for time-distance instructors as 
administered by the Commission. Copies of this publication 
may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Post Office Drawer 149 

Raleigh, North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 
(e) Commission-accredited schools that are accredited to offer 
the "Time-Distance Instructor Re-Certification Training Course" 
are: The North Carolina Justice Academy. 

Histon- Note: A ulhorin' G. S. 1 7C-6: 

Ejf.Julyl. 1983: 

Amended Ef. April I. 1999: July I. 1989: Fehniaiy 1. 1987. 

.0220 RE-CERTIFICATION COURSE FOR RADAR 
OPERATORS 

(a) The radar operator re-certification training course shall be 
designed to provide the law enforcement officer with the skills 
and knowledge to continue to proficiently perform the function 
of a radar operator. This course shall be presented within a 
period not to exceed one week. 

(b) Each applicant for a radar operator re-certification course 
shall meet the requirements of 12 NCAC 9C .0308(c) and (d). 

(c) Federal law enforcement personnel shall be allowed to 
participate in radar operator re-certification courses at the 
discretion of the school director without meeting the 
requirements specified in 12 NCAC 9B .0220(b). but such 
personnel must have successfully completed the radar operator 
training course (12 NCAC 98 .0212) or the radar TD/SMI 
operator training course ( 1 2 NCAC 93 .02 1 3 ). 

(d) The radar operator re-certification training course required 
for radar operator re-certification shall include but not be limited 
to the topic areas and minimum number of hours as outlined in 
The Radar Operator Training Course. To qualify for radar 
operator re-certification, an applicant shall meet the minimum 
requirements as outlined in The Radar Operator Training Course 
and meet the requirements of 12 NCAC 98 .0408 and .0409. 

(e) The "Radar Operator Training Course" as published by 
the North Carolina Justice Academy is to be applied as basic 
curriculum for the radar operator re-certification training course 
for radar operators as administered by the Commission. Copies 
of this publication may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academv 



Post Office Box 99 
Salemburg. North Carolina 28385 

History Note: Filed as a Temporary Amendment Eff. 

February' 24, 1984 for a period of 120 days to expire on June 

22. 1984: 

Authority G.S. 17C-6: 

Eff. October 1, 1983: 

Amended Eff. April 1. 1999: November 1. 1993: August 1. 1984. 

.0221 RE-CERTIFICATION COURSE FOR 

RADAR/TIME-DISTANCE OPERATORS 

(a) The radar/time-distance operator re-certification training 
course shall be designed to provide the law enforcement officer 
with the skills and knowledge to continue to proficiently perform 
the function of a radar/time-distance operator. This course shall 
be presented within a period not to exceed one week. 

(b) Each applicant for a radar and time-distance operator 
re-certification course shall meet the requirements of 12 NCAC 
9C .0308(c) and (d). 

(c) Federal law enforcement personnel shall be allowed to 
participate in radar and time-distance operator re-certification 
courses at the discretion of the school director without meeting 
the requirements specified in 12 NCAC 9B .0221(b), but such 
personnel must have successfully completed the radar and 
TD/SMl operator training course (12 NCAC 9B .0213) or the 
radar operator training course (12 NCAC 9B .0212) and the 
TD/SMl operator training course (12 NCAC 9B .0214). 

(d) The radar/time-distance operator re-certification training 
course required for radar/time-distance operator re-certification 
shall include but not be limited to the topic areas and minimum 
number of hours as outlined in The Radar'Time-Distance 
Operator Training Course. To qualify for radar/time-distance 
operator re-certification. an applicant shall meet the minimum 
requirements as outlined in The Radar/Time-Distance Operator 
Training Course and meet the requirements of 12 NCAC 9B 
.0408 and .0409. 

(e) The "Radar/Time-Distance Operator Training Course" as 
published by the North Carolina Justice Academy is to be 
applied as basic curriculum for the radar/time-distance operator 
re-certification training course for radar/time-distance operators 
as administered by the Commission. Copies of this publication 
may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

Histoij Note: Authority- G.S. l'^C-6: 

Eff. October 1, 1983: 

Amended Eff. April 1. 1999: November 1, 1993: August 1, 1984. 



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mil RE-CERTIFICATION COURSE FOR TIME- 
DISTANCE OPERATORS 

(a) The time-distance operator re-certification training course 
shall be designed to provide the trainee vsith the skills and 
knowledge to continue to proficiently perform the function of a 
time-distance operator. This course shall be presented within a 
period not to exceed one week. 

(b) Each applicant for a time-distance operator re-certitlcation 
course shall meet the requirements of 12 NCAC 9C .0308(c) and 
(d). 

(c) Federal law enforcement personnel shall be allowed to 
participate in time-distance operator re-certification courses at 
the discretion of the school director without meeting the 
requirements specified in 12 NCAC 9B .0222(b), but such 
personnel must have successfully completed the radar and 
TD SM I operator training course ( 1 2 NCAC 9B .02 1 3 ) or the 
ID SMI operator training course (12 NCAC 9B .0214). 

(d) The time-distance operator re-certification training course 
required for time-distance operator re-certification shall include 
but need not be limited to the topic areas and minimum number 
of hours as outlined in The Time-Distance Operator Training 
Course. To qualify for time-distance operator re-certification. an 
applicant shall meet the minimum requirements as outlined in 
The Time-Distance Operator Training Course and meet the 
requirements of 12 NCAC 9B .0408 and .0409. 

(e) The "Time-Distance Operator Training Course" as 
published by the North Carolina Justice Academy is to be 
applied as basic curriculum for the time-distance operator re- 
certification training course for time-distance operators as 
administered b> the Commission. Copies of this publication 
may be inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Bo.\ 99 
Salemburg. North Carolina 28385 

History Note: Authority G.S. 1 ~C-6; 

Eff. October I. 1983: 

AmeiuieJ Eff. April 1. 1999: Sorember I. 1993: July 1. 1989: 

August 1. 1984. 

.0226 SPECIALIZED INSTRUCTOR TRAINING - 
FIREARMS 

(a) The instructor training course requirement for specialized 
firearms instructor certification shall consist of a minimum of 83 
hours of instruction presented during a continuous period of not 
more than two weeks. 

(b) Each specialized firearms instructor training course shall 
be designed to provide the trainee with the skills and know ledge 
to perfomi the function of a criminal Justice firearms instructor 
in a "Basic Recruit Training - Law Enforcement" course or a 
"Law Enforcement Officers's In-Service Firearms Training and 



Qualification Program". 

(c) Each applicant for specialized firearms instructor training 
shall: 

( 1 ) have completed the criminal justice general instructor 
training course: and 

(2) present a written endorsement b\ a certified school 
director indicating the student will be utilized to 
instruct firearms in "Basic Recruit Training-Law 
Enforcement" courses; or 

(3) present a written endorsement b\ a department head 
or certified school director indicating the student will 
be utilized to instruct firearms in a "Law Enforcement 
OtTicer's In-Service Firearms Training and 
Qualification Program": and 

(4) possess a current valid CPR Certification. 

(d) Each specialized firearms instructor training course shall 
include as a minimum the following identified topic areas and 
minimum instructional hours for each area: 

( 1 ) Orientation/Pretest 8 Hours 

(2) Range Operations 38 Hours 

(3) Civil Liability 4 Hours 

(4) Night Firing 2 Hours 

(5) Combat Shooting 8 Hours 

(6) Mental Conditioning 1 Hour 

(7) Shotgun Operation and Firing 4 Hours 

(8) Service Handgun - Operation and Use 5 Hours 

(9) Rifie - Operation and Maintenance 4 Hours 

(10) Service Handgun - Maintenance and 

Cleaning 2 Hours 

(11) Range Medical Emergencies 2 Hours 

(12) In-Service Firearms Requirements 2 Hours 

(13) BEET Lesson Plan Re\ie\N Post Test 3 Hours 

(e) The "Specialized Firearms Instructor Training Manual" as 
published bv the North Carolina Justice Academv is to be 
applied as the basic curriculum for deliverv of specialized 
firearms instructor training courses. Copies of this publication 
ma\ be inspected at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained at no cost to the student from the Academ\ 

at the follow ing address: 

North Carolina Justice Academ\ 

Post Office Box 99 
Salemburg. North Carolina 28385 

(f) Commission-accredited schools that are accredited to offer 
the "Specialized Instructor Training - Firearms" course are: The 
North Carolina Justice Academy. 

History Note: Authority G.S. l~C-6: 

Eff. May 1. 1986: 

Amended Eff. November I. 1998: August 1. 1995: February I. 

1991: .March I. 199(1: July I. 19H9. 

.0227 SPECIALIZED INSTRUCTOR TRAINING - 



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APPROVED RULES 



DRIVING 

(a) The instructor training course required for specialized 
driver instructor certification shall consist of a minimum of 35 
hours of instruction presented during a continuous period of not 
more than one week. 

(b) Each specialized driver instructor training course shall be 
designed to provide the trainee with the skills and knowledge to 
perform the function of a criminal justice driver instructor in a 
"Basic Recruit Training - Law Enforcement" course. 

(c) Each applicant for specialized driver instructor training 
shall: 

( 1 ) have completed the criminal Justice general instructor 
training course; 

(2) present a written endorsement by a certified school 
director indicating the student will be utilized to 
instruct driving in "Basic Recruit Training— Law 
Enforcement" courses; 

(3) possess a valid operator driver's license; 

(4) maintain a safe driving record where no more than 
four points have been assigned against the driving 
record within the past three years; and. 

(5) possess a current valid CPR Certification. 

(d) Each specialized driver instructor training course shall 
include as a minimum the following identified topic areas and 
minimum instructional hours for each area: 

(1) Orientation 1 Hour 

(2) Lesson Plan Review (BLET) 4 Hours 

(3) General Mechanical Knowledge 2 Hours 

(4) Before - Operation Inspection 1 Hour 

(5) Laws of Natural Force & Operating 
Characteristics 4 Hours 

(6) Driver Practicum 16 Hours 

(7) Fundamentals of Professional Liability 

for Trainers 4 Hours 

(8) Course Review/State Exam 3 Hours 

(e) The "Specialized Driver Instructor Training Manual" as 
published by the North Carolina Justice Academy is to be 
applied as the basic curriculum for delivery of specialized driver 
instructor training courses. Copies of this publication may be 
inspected at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 1 4 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at no cost to the student from the Academy 

at the following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

(f) Commission-accredited schools that are accredited to offer 
the "Specialized Instructor Training - Driving" course are: The 
North Carolina Justice Academy and The North Carolina State 
Highway Patrol. 

Histoir Note: Authorin- G.S. I ''C-6: 



Eff. May I. 1986: 

Amended Eff. November 1. 1998: August 1, 1995: February 1. 

1991: March 1, 1990: July 1. 1989. 

.0232 SPECIALIZED INSTRUCTOR TRAINING - 
DEFENSIVE TACTICS 

(a) The instructor training course required for specialized 
defensive tactics instructor certification shall consist of a 
minimum of 40 hours of instruction presented during a 
continuous period of not more than one week. 

(b) Each specialized defensive tactics instructor training 
course shall be designed to provide the trainee with the skills and 
knowledge to perform the function of a criminal justice 
defensive tactics instructor in a "Basic Recruit Training-Law 
Enforcement" course. 

(c) Each applicant for specialized defensive tactics instructor 
training shall: 

( 1 ) have completed the criminal justice general instructor 
training course; 

(2) present a letter fi^om a licensed physician stating the 
applicant's physical fitness to participate in the course; 

(3) present a written endorsement by a certified school 
director indicating the student will be utilized to 
instruct defensive tactics in "Basic Recruit 
Training-Law Enforcement" courses; and, 

(4) possess a current valid CPR Certification. 

(d) Each specialized defensive tactics instructor training 
course shall include as a minimum the following identified topic 
areas and minimum instructional hours for each area: 

( 1 ) Orientation/Pretest 4 Hours 

(2) Civil Liability 4 Hours 

(3) Response to Injury 4 Hours 

(4) Safety Rules 2 Hours 

(5) Lesson Plan Review (BLET) 2 Hours 

(6) Defensive Tactics Instructional Methods 24 Hours 

(e) The "Specialized Defensive Tactics Instructor Training 
Manual" as published by the North Carolina Justice Academy is 
to be applied as the basic curriculum for delivery of specialized 
defensive tactics instructor training courses. Copies of this 
publication may be inspected at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at no cost to the student from the Academy 

at the following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

(f) Commission-accredited schools that are accicdiled to offer 
the "Specialized Instructor Training - Defensive Tactics" course 
are: The North Carolina Justice Academy. 

Histoiy Note: Aulhorin- G.S. 17C-6: 

Eff. Fehruaiy 1. 198^: 

Amended Eff'. November 1. 1998: August 1. 1995: March I. 



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1990: July I. 1989. 

.0233 SPECIALIZED INSTRUCTOR TRAINING - 
PHYSICAL FITNESS 

(a) The instructor training course required for specialized 
physical fitness instructor certification shall consist of a 
minimum of 40 hours of instruction presented during a 
continuous period of not more than one week. 

(b) Each specialized physical fimess instructor training course 
shall be designed to provide the trainee with the skills and 
knowledge to perform the fijnction of a criminal justice physical 
fitness instructor in a "Basic Recruit Training -- Law 
Enforcement" Course. 

(c) Each applicant for specialized physical fitness training 
shall: 

( 1 ) qualify through one of the follow ing three options: 

(A) have completed the criminal justice general 
instructor training course; or 

(B) hold a current and valid North Carolina 
Teacher's Certificate and hold a minimum of a 
baccalaureate degree in physical education and 
be actively teaching in physical education 
topics; or 

(C) be presently instructing physical education 
topics in a community college, college or 
university' and hold a minimum of a 
baccalaureate degree in physical education; and 

(2) present a written endorsement by a certified school 
director indicating the student will be utilized to 
instruct physical fitness in "Basic Recruit Training — 
Law Enforcement" courses; and 

(3) present a letter from a physician stating fitness to 
participate in the course; and, 

(4) possess a current valid CPR Certification. 

(d) Each specialized physical fimess instructor training course 
shall include as a minimum the following identified topic areas 
and minimum instructional hours for each area: 

( 1 ) Orientation 1 Hour 

(2) Lesson Plan Review 2 Hours 

(3) Physical Fitness Assessments, Exercise Programs and 
Instructional Methods 26 Hours 

(4) Injury Care and Prevention 3 Hours 

(5) Nutrition 3 Hours 

(6) Civil Liabilities for Trainers 3 Hours 

(7) Examination 2 Hours 

(e) The "Physical Fitness Instructor Training Manual" as 
published by the North Carolina Justice Academy is to be 
applied as the basic curriculum for delivery of specialized 
physical fitness instructor training courses. Copies of this 
publication may be inspected at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh, North Carolina 27602 

and may be obtained at no cost to the student from the Academy 

at the following address: 



North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 
(0 Commission-accredited schools that are accredited to offer 
the "Specialized Instructor Training -- Physical Fitness" course 
are: The North Carolina Justice Academy. 

Histon.- Note: Authorit}' G.S. I "€-6: 

Eff. July I. 1989: 

Amended Eff. November 1. 1998: August 1. 1995: March 1. 

1990. 

SECTION .0300 - MINIIVIUM STANDARDS FOR 
CRIMINAL JUSTICE INSTRUCTORS 

.0310 TERMS AND CONDITIONS -- SMI 
INSTRUCTORS 

(a) The term of a Speed Measurement Instrument (SMI) 
instructor, which includes radar, time-distance speed 
measurement instrument, and LIDAR instructors, is three years 
from the date the Commission issues the certificate, unless 
sooner terminated by the Commission. The certificate may be 
renewed for subsequent three year periods. The SMI instructor 
desiring renewal shall: 

( 1 ) Hold general instructor certification as required in 1 2 
NCAC9B.0303. 

(2) Have been active in the SMI classroom instructional 
process during the previous certification period. 

(3) Successfully complete a commission-approved SMI 
instructor re-certification course as required in 12 
NCAC9B.0218or.02l9. 

(b) All SMI instructors seeking re-certification shall 
successfully complete the re-certification course within 12 
months from expiration of the initial certification period or 
re-certification period. If re-certification training is not obtained 
within the 12-month period, successful completion of the 
appropriate instructor training program as required in 12 NCAC 
9B .0308 will be required to obtain insnoictor certification. This 
prescribed 12-month period does not extend the instructor 
certification period. 

Histoiy Note: Authorit}- G.S. l^C-6: 

Eff. November 1. 19SI: 

Readopted Eff July I. 1982: 

Amended Eff April 1. 1999: November 1. 1993: Februar.- 1. 

1991: July 1. 1989: December 1. 1987. 

SECTION .0400 - MINIMUM STANDARDS FOR 
COMPLETION OF TRAINING 



WRITTEN 
BASIC SMI 



.0408 COMPREHENSIVE 
EXAMINATION 
CERTIFICATION 

(a) At the conclusion of the classroom instruction portion of 
a school's offering of any speed measurement instrument 
operators" courses and re-certiflcalion courses, an authorized 
representative of the Commission shall administer to all 
candidates for certification as operators a comprehensive written 



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examination. 

(b) The examination shall be an objective test covering the 
topic areas contained in the accredited course curriculum. 

(c) The Commission's representative shall submit to the 
school director within five days of the administration of the 
examination a report of the results of the test for each candidate 
for certification. 

(d) A trainee shall pass the operating training course as 
required in 12 NCAC 9B .0212, .0213. and .0214 by achieving 
a minimum of 70 percent correct answers. 

(e) An operator seeking recertification shall pass the operator 
training recertification courses as specified in 12 NCAC 9B 
.0220. .0221 and .0222 by achieving a minimum of 75 percent 
correct answers. 

(f) A trainee who has fully participated in a scheduled 
delivery of an accredited training course and has demonstrated 
100 percent competence in each motor-skill or performance area 
of the course curriculum but has failed to achieve the minimum 
score, as specified in Paragraph (d) of this Rule, on the 
Commission's comprehensive written examination may request 
the director of the Standards Division to authorize a 
re-examination of the trainee. 

( 1 ) The trainee's request for re-examination shall be made 
in writing on the Commission's form and shall be 
received by the Standards Division within 30 days of 
the examination. 

(2) The trainee's request for re-examination shall include 
the favorable recommendation of the school director 
who administered the course. 

(3) A trainee shall have, within 90 days of the original 
examination, only one opportunity for re-examination 
and shall satisfactorily complete the subsequent 
examination in its entirety. 

(4) The trainee will be notified by the Standards Division 
staff of a place, time, and date for re-examination. 

(5) If the trainee fails to achieve the prescribed minimum 
score on the re-examination, the trainee may not be 
recommended for certification and shall enroll and 
complete a subsequent course offering in its entirety 
before further examination may be permitted. 

HistoiT Note: Auihorin- G.S. 17C-6; 

Eff. November I. 1981: 

Readopted Eff. July 1 . 1982: 

Amended Eff. April 1. 1999: Deeember I 1987: Oelober 1. 

1983: April I. 1983. 

.0409 SATISFACTION OF MINIIVIUIVI TRAINING - 
SMI OPERATORS 

(a) To satisfy the minimum training requirements for operator 
certification, a trainee shall complete all of the following: 

( 1 ) achieve a score of 70 percent correct answers on the 
comprehensive written examination, provided for in 
12 NCAC 9B .0408(d). 

(2) demonstrate successful completion of an accredited 
offering of courses as prescribed under either 12 
NCAC"9B .0212, .0213, .0214 or .0215 as shown by 
the certification of the school director. 



(3) demonstrate 1 00 percent proficiency in the motor-skill 
and performance subject areas as demonstrated to a 
certified Speed Measurement Instrument (SMI) 
instructor and further evidenced through 
documentation on the Commission's SMI forms and 
by the subscribing instructor's certification of trainee 
competence. 

(4) present evidence showing prior North Carolina 
certification in a commission-accredited operator 
training course as prescribed in 12 NCAC 9B .0212 or 
12 NCAC 9B .0213, or present evidence showing 
prior certification which meets or exceeds North 
Carolina certification, or present evidence showing 
completion of 16 hours of supervised field practice 
within 90 days after completing a 
commission-accredited radar operator training course 
as prescribed in 1 2 NCAC 9B .02 1 2 or 1 2 NCAC 9B 
.0213. 

(b) Any trainee failing to achieve 100 percent proficiency in 
the motor-skill area may request written permission from the 
Director of the Standards Division for re-examination. 

{ 1 ) The trainee's request for re-examination shall be made 
in writing and must be received by the Standards 
Division within 30 days of the original examination. 

(2) The trainee's request for re-examination shall include 
the favorable recommendation of the school director 
who administered the course. 

(3) A trainee shall have, within 90 days of the original 
examination, only one opportunity for motor-skill 
re-examination and must satisfactorily complete each 
identified area of deficiency on the original 
motor-skill examination. 

(4) The trainee will be notified by the Standards Division 
staff of a place, time and date for re-examination. 

(5) If the trainee fails to achieve the prescribed minimum 
score on the examination, the trainee will not be 
recommended for certification and shall enroll and 
complete a subsequent course offering in its entirety 
before further examination ma\' be permitted. 

(c) To satisfy the minimum training requirements for operator 
re-certification, an operator seeking re-certification shall: 

( 1 ) Achieve a score of 75 percent correct answers on the 
comprehensive written examination provided for in 12 
NCAC 9B .0408(e). 

(2) Demonstrate successful completion of an accredited 
offering of courses as prescribed under either 12 
NCAC 9B .0218, .0219, .0220. .0221. or .0222 as 
shown by the certification of the school director. 

(3) Satisfy all motor-skill requirements as required in 12 
NCAC 9B .0409(a)(3). 

(d) At the time a trainee seeking operator le certiilcalion fails 
to achieve the prescribed minimum requirements on the 
comprehensive written examination as specified in 12 NCAC 9B 
.0409(c)(1). certification of the officer automatically and 
immediately terminates and that officer will not be re-certit1ed 
until successful completion of a subsequent course offering as 
prescribed under either 12 NCAC 9B .0212. .0213. or .0214 
before further examination may be permitted. 



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(e) At the time a trainee seeking operator re-certiflcation fails 
to achieve the prescribed minimum motor-skill requirements as 
specified in 12 NCAC 9B .0409(c)(3). certification of the officer 
automatical!}, and immediate!) terminates and that officer shall 
not be re-certified until successful completion of the required 
motor-skill testing. Provided, however, such an officer may 
request re-examination as prescribed in 12 NCAC 9B .0409(b). 

Histon' Nole: Authority (J. S. fC-d: 

Eff. November 1. 1981: 

Readopted w ehange Eff. July I. I9H2: 

Amended Eff. April 1. 1999; December 1. 198': August 1. 1984: 

October 1. 1983: April I. 1983. 

.0416 SATISFACTION OF MINIMUM TRAINING ~ 
SMI INSTRUCTOR 

(a) To acquire successful completion of the "Speed 
Measurement Instrument (SMI) Instructor Training Courses." 
and the "SMI Instructor Re-Certification Courses", the trainee 
shall: 

(1) satisfactorily complete all required course work as 
specified in' Rules .0210. .021 1. ,0218. and .02 1 9 of 
this Subchapter for the specific course in attendance; 
and 

(2) achieve a score of 75 percent correct answers on a 
commission-administered comprehensive written 
examination. 

(b| If the trainee passes the written examination but fails to 
meet the minimum criteria on an area of motor-skills testing, 
he she shall be authorized one opportunity for a re-test. Such 
re-te.st must be at the recommendation of the school director and 
a request must be made to the Standards Division within 30 da\s 
of the original testing. Re-examination must be completed 
within 90 days of the original testing. Failure on the re-test 
requires enrollment in a subsequent SMI operator course and an 
SMI instructor course. 

Hi.stor}- Note: Authority U.S. 1 7C-6: 1 7C-I0: 
Eff. February 1. 1987: 
Amended Eff. April 1. 1999 

SUBCHAPTER 9C - ADMINISTRATION OF 

CRIMINAL JUSTICE EDUCATION AND TRAINING 

STANDARDS 

SECTION .0300 - CERTIFICATION OF CRIMINAL 
JUSTICE OFFICERS 

.0308 SPEED MEASUREMENT INSTRUMENT (SMI) 
OPERATORS CERTIFICATION PROGRAM 

(a) Certification shall be issued in one of the following 
categories: 

(1) radar operator Speed Measurement Instrument (SMI) 
certification or re-certification requiring successful 
completion of the training program as required in 12 
NCAC 9B .0210. .0211. .0212. .0213. .0218. .0219. 
.0220. .0221. or .0222; 

(2) radar and time-distance speed measurement 



instrument operator certification or re-certification 
requiring successful completion of the training 
program as required in 12 NCAC 98 .0211. .0213. 
.0219. or .0221; 
(3) time-distance speed measurement instrument operator 
certification or re-certification requiring successful 
completion of the training program as required in 12 
NCAC 98 .0211. .0213. .0214. .0219. .0221. or 
.0222. 

(b) Certification in either category will reflect operational 
proficiencv in the designated r\pe(s) of approved equipment for 
which the trainee has been examined and tested. Such 
certification shall be for a three year period from the date of 
issue and re-certifications shall be for a three year period from 
the date of issue, unless sooner terminated b\ the Commission. 
At a minimum, the applicant shall meet the following 
requirements for operator certification or re-certification vv ithin 
90 davs of course completion and upon the presentation of 
documentary evidence showing that the applicant: 

(1) has successfulK completed the training program as 
required m 1 2 NCAC 98 .02 1 0. .02 1 1 , .02 1 2. .02 1 3, 
.02 1 4, .02 1 8. .02 1 9. .0220. .022 1 . or .0222; and 

(2) has successfulK completed a commission-accredited 
basic law enforcement training course as required in 
12 NCAC 98 .0400 and is currently certified in a 
probationary status or holds general law enforcement 
certification; or 

(3) if the applicant is a sheriff, deputy sheriff, or other 
sworn appointee vv ith arrest authority govemed b\ the 
provisions of G.S. 1 7E has met and is in total 
compliance with the then current emplovment and 
training standards as established and made effective 
for such position bv the North Carolina Sheriffs' 
Education and Training Standards Commission. 

(c) Certified operators shall be notified bv the Commission 
not less than 90 days prior to expiration of certification. All 
applicants for re-certification shall successfulK complete a 
commission-approved re-certification course within 12 months 
from the expiration of the previous certification. If 
re-certification is not obtained within the 12 month period, 
successful completion of the appropriate operator training 
programs as required by 12 NCAC 98 .0409(a) will be required 
to obtain operator certification. This prescribed 12 month period 
shall not extend the operator certification period bevond its 
specified expiration date. When a re-certification course is 
successfulK completed prior to the expiration of the previous 
certification, the new certification shall be issued bv the 
Criminal Justice Standards Division effective upon the receipt 
of the Post-deliver> Report of Training Course Presentation. 

(d) Operator re-certification shall be issued onlv to officers 
with current law enforcement certification. 

(e) All certifications issued pursuant to this Rule and the 
standards in eflect between November 1. 1981 and JuK 1. 1982 
shall continue with full force and effect; however, said 
certifications shall be subject to the prov isions of 12 NCAC 9C 
.0308(c) and (d). 

Hisloiy Note: Filed as a Tempnraiy Amendment Eff'. 



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APPROVED RULES 



February 24. 1984. for a period of 120 days to expire on June 

22. 1984: 

Authoring G.S. 17C-6: 

Eff. November 1. 1981: 

Readopted w/change Eff. July 1. 1982: 

Amended Eff. April 1. 1999: November 1. 1993: March 1. 1992: 

Februaty I. 1991: December 1. 1987. 

SECTION .0600 - EQUIPMENT AND PROCEDURES 

.0601 APPROVED SPEED-MEASURING 

INSTRUMENTS 

The following procedures shall be adhered to for approval of 
speed-measuring instruments: 

( 1 ) Prior to the inclusion as an approved speed-measuring 
instrument, the manufacturer of said instrument shall 
certify in writing to the Criminal Justice Standards 
Division that said instrument meets or exceeds the 
applicable standards set out in the "Model 
Performance Specifications for Police Traffic Radar 
Devices" as published by the National Highway 
Traffic Safety Administration. United States 
Department of Transportation (as in effect July I. 
1982) which is hereby incorporated by reference, and 
shall automatically include any later amendments and 
editions of the incorporated material as provided by 
G.S. 150B-21.6. Copies of this publication may be 
inspected at the office of the agency: 

Criminal Justice Standards Division 
North Carolina Department of Justice 
114 West Edenton Street 
Old Education Building 
Post Office Drawer 149 
Raleigh, North Carolina 27602 
and may be obtained at no cost from the National 
Highway Traffic Safety Administration at the 
following address: 
National Highway Traffic Safety Administration 
400 Seventh Street. SW 
Washington, DC 20590 

The manufacturer shall provide evidence that the 
instrument meets or exceeds the applicable standards 
published by the National Highway Traffic Safety 
Administration. United States Department of 
Transportation. 

(2) All speed-measuring instruments shall be evaluated by 
representatives from the North Carolina Criminal 
Justice Education and Training Standards 
Commission and the North Carolina Department of 
Crime Control and Public Safety. A summary of the 
findings shall be submitted in writing to the Criminal 
Justice Standards Division's Radar Program 
Administrator. 

(3) A current list of all approved speed-measuring 
instruments shall be included in all speed-measuring 
instrument operator training course manuals published 
by the North Carolina Justice Academy. 



(4) The "Speed-Measurement Instrument Operator 
Training Course Manual" as published by the North 
Carolina Justice Academy is to be applied as the basic 
curriculum for the speed-measuring instrument 
operator training courses for speed-measuring 
instrument operators as administered by the North 
Carolina Criminal Justice Education and Training 
Standards Commission. Copies of this publication 
may be inspected at the office of the agency: 
Criminal Justice Standards Division 
North Carolina Department of Justice 
1 14 West Edenton Street 
Old Education Building 
Post Office Drawer 149 
Raleigh. North Carolina 27602 
and may be obtained from the Academy at the 
following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg, North Carolina 28385 

HistoiyNote: Authority G.S. 17C-6: 

Eff. November I. 1981: 

Readopted w/change Eff July 1. 1982: 

Amended Eff. November 1. 1998: August 1. 1998: August 1. 

1995: Januaiy 1. 1995: November 1. 1993: February 1. 1991. 

SUBCHAPTER 9E - IN-SERVICE TRAINING 
PROGRAMS 

SECTION .0100 - LAW ENFORCEMENT OFFICER'S 
IN-SERVICE TRAINING PROGRAM 

.0105 MINIMUM TRAINING SPECIFICATIONS 

At a minimum, the following specifications shall be 
incorporated in the agency's annual in-service firearms training 
and qualification course: 

(1) Use of Force: review the authority to use deadly force 
[G.S. 15A-40 1(d)(2)] including the relevant case law 
and materials. 

(2) Safety: 

(a) range rules and regulations; 

(b) handlingof a firearm; 

(c) malfunctions. 

(3) Review of Basic Marksmanship Fundamentals: 

(a) grip, stance, breath control and trigger squeeze; 

(b) sight and alignment/sight picture; 

(c) nomenclature. 

(4) The "Specialized Firearms Instructor Training 
Manual" as published by the North Carolina Justice 
Academy is to be applied as a minimum guide for 
conducting the annual in-service firearms tii'ining 
program. Copies of this publication may be inspected 
at the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 



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Old Education Building 

Post Office Drawer 149 

Raleigh, North Carolina 27602 

Histoij Note: Authority G.S. I~C-6: I'C-IO: 

EffJiily I. 1989; 

Amended Efjl November I. I99iS. 

.0106 IN-SERVICE FIREARMS QUALIFICATION 
SPECIFICATIONS 

(a) All certified law enforcement otTicers shall be required to 
qualifv' with their individual and department-approved service 
handgun(s) a minimum of once each calendar \ear. For the 
purpose of this specification, service handgun shall include an\ 
semi-automatic pistol or revolver. In addition to the 
requirements specified in Rule .0105 of this Subchapter, the 
course of fire shall not be less stringent than the "Basic Training 
— Law Enforcement Officers" course requirements for firearms 
qualification. 

(b) All certified law enforcement officers who are issued or 
authorized to use a shotgun, ritle or automatic weapon shall be 
required to qualify' with each weapon respectively a minimum of 
once each calendar vear 

(c) Qualification shall be completed with dut> equipment and 
dut> ammunition for all weapons. 

(d) All certified lavs enforcement officers who are authorized 
to carr\ an oft-dut> handgun(s) shall be required to qualify with 
each such handgun consistent with the specifications as outlined 
in Rules .0105 and .0106(a) and (g) of this Section. 

(e) To satisfy the minimum training requirements for all 
in-service firearms qualifications, an officer shall attain a 
minimum of 70 percent accuracy with each weapon. 

(f) Qualification must be achieved at least once in no more 
than three attempts in a single day for all courses of fire and for 
all weapons for which qualification is required. Indiv iduals not 
qualifSing in a single da\ shall be deemed as ha\ ing failed and 
12 NCAC 9E Rule .0103(4) and (5) shall apply. 

(g) The In-Service Firearms Qualification Manual as 
published b\ the North Carolina Justice Academy is to be 
applied as a minimum guide for conducting the annual in-service 
firearms qualification. Copies of this publication ma\ be 
inspected at the office of the agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 14 West Edenton Street 

Old Education Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 

Post Office Drawer 99 
Salemburg, North Carolina 28385 

Histoiy Note: Authority G.S. rC-6: TC-IO: 

Ejf.July I. 1989: 

Amended Eff. November I. 1998: March I. 1991 



SUBCHAPTER 9F - CONCEALED HANDGUN 
TRAINING 

SECTION .0100 - CONCEALED HANDGUN 
TRAINING PROGRAM 

.0107 FILING AND FEES 

(a) Each instructor of an approved course shall file a copv of 
the firearms course description, outline, and proof of instructor 
certification annually, or upon modification of the course if more 
frequently, with the Commission. A fee of fifty dollars (S50.00) 
shall be submitted for the initial and annual filing of a course. 
If modification of the course occurs before the renewal filing 
date, a fee of twenty-five dollars ($25.00) shall be charged. 

(b) Instructors shall, in writing, request the number of 
certificates needed and shall remit a fee of one dollar (SI. 00) per 
certificate v\ith a minimum request of 25 certificates per 
instructor. Certificates may be obtained at the office of the 
agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 14 West Edenton Street 

Old Education Building 

Post Office Drawer 1 49 

Raleigh, North Carolina 27602 

All such fees shall be paid by certified check made pavable to 

the North Carolina Department of Justice. 

History Note: Temporary Adoption Eff. November I. 1995: 

Authority G.S. 14-415.12: 1995 S.L. c. 50' i. 22: 

Eff. May 1. 1996: 

Amended Eff. November I. 1998. 

*************************** 



CHAPTER 11 



SECTION .0500 



NC ALARM SYSTEMS LICENSING 
BOARD 

CONTINUING EDUCATION FOR 
LICENSEES 



.0502 DEFINITIONS 

In addition to the definitions set forth in 12 NCAC 1 1 .0103, 
the follow ing definitions shall apply to this Section: 

(1) "continuing licensee education" or "CLE" refers to 
any educational activity approved b\ the Board to be 
a continuing education activitv. 

(2) "credit hour" means 60 minutes of continuing 
education instruction. 

(3 ) "year" refers to the calendar \ear after the issuance of 
a new or renewal license. 

(4) "licensee" shall refer to an indi\idual who holds an 
alarm svstems business license issued b\ the Board. 

(5) "registrant" shall refer to an individual who holds an 
alarm sv stems business registration pemiit issued b\ 
the Board. Only registrants who engage in 
installation, service, sales, or monitorinc of alarm 



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APPROVED RULES 



systems shall be required to complete the continuing 
education requirements. 

History Note: Authority G.S. 740-2:7-10-5: 
Eff.Mayl. 1999. 

.0504 ACCREDITATION STANDARDS 

(a) CLE courses may obtain the sanction of the Alarm 
Systems Licensing Board by submitting the following 
information to the Board for consideration: 

( 1 ) the nature and purpose of the course; 

(2) the course objectives or goals; 

(3) the outline of the course, including the number of 
training hours for each segment: and 

(4) the identit\' of each instructor 

(b) To determine if a course will receive sanctioning from the 
Alarm Systems Licensing Board, the Board shall complete the 
following review: 

(1) The matter will be referred to the Education and 
Training Committee for the appointment of a sub- 
committee that shall review the course under 
consideration. The sub-committee shall consist of at 
least one member of the Education and Training 
Committee, one member of the Board's staff, and one 
industry licensee who has no vested interest in the 
course. Other members of the sub-committee may be 
appointed at the discretion of the Education and 
Training Committee Chairman. 

(2) The sub-committee shall review the course to 
determine if the course is pertinent to the industrx, 
and if the course meets its stated objectives. 

(3) When the sub-committee completes its review, it shall 
report to the Education and Training Committee. The 
Education and Training Committee shall review the 
course to determine if the course is pertinent to the 
industp,. and if the course meets its stated objective. 
The Education and Training Committee shall then 
report the findings with a recommendation of 
acceptance or denial to the Alarm Svstems Licensing 
Board. 

(c) Upon receipt of the Education and Training Committee 
report, the Alarm S>stems Licensing Board will determine by 
majority vote if the course will be sanctioned for continuing 
licensee education credits. In making its determination, the 
Board shall review the course to determine if the course is 
pertinent to the industrv. and if the course meets its stated 
objective. 



His ton' Note: Author it\- G.S. 
Eff.Mayl. 1999. 



.0505 



'4D-2: UO-5: 



NON-RESIDENT LICENSEES AND CLE 
CREDITS 

A non-resident licensee shall obtain the required continuing 
licensee education credits as set forth in 12 NCAC 1 1 .0503. If 
a non-resident licensee resides in a state that requires continuing 
education for an alarm systems business license, then the 
continuing education courses to be offered in the state of 



residence may be considered by the North Carolina Aianri 
Systems Licensing Board for sanctioning in North Carolina on 
an individual course basis. In determining if the course is to be 
sanctioned, the Board shall review the course to determine if the 
course is pertinent to the industry, and if the course meets its 
stated objective. 

History Note: Authority G.S. 740-2: 740-5: 
Eff May 1. 1999. 



TITLE 14A - DEPARTMENT OF CRIME CONTROL 
AND PUBLIC SAFETY 

CHAPTER 7 - DIVISION OF GOVERNOR'S CRIME 
COMMISSION 

SECTION .0300 - GRANT APPLICATION PROCESS 
AND ADMINISTRATION 

.0313 TIME LIMITATION ON FEDERAL FUNDING 

Grantees ma\ receive up to two years of funding on a project, 
at such ratios of federal funds to matching state or local funds as 
may be specified b\ each particular federal grant program or 
relevant guidelines. Projects may be considered for one or more 
additional grant periods consistent with federal regulations and 
subject to availabilit\ of funds. 

HistoiyNote: Authority G.S. 1438-4^'^: 143B-479: 
Eff. April 1. 1988: 
Amended Eff. May 10. 1998. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

CHAPTER 7 - COASTAL MANAGEMENT 

SUBCHAPTER 7H - STATE GUIDELINES FOR 
AREAS OF ENVIRONMENTAL CONCERN 

SECTION .1700 - GENERAL PERMIT FOR 

EMERGENCY WORK REQUIRING A CAMA AND/OR 

A DREDGE AND FILL PERMIT 

.1705 SPECIFIC CONDITIONS 

(a) Temporap. Erosion Control Structures in the Ocean 
Hazard AEC. 

( 1 ) Permittable temporarv erosion control structures shall 
be limited to sandbags placed above mean high water 
and parallel to the shore. 

(2) Temporar> erosion control structures as Jefined in 
Subparagraph ( 1 ) of this Paragraph may be used onl\ 
to protect imminentK threatened roads and associated 
right of v\a\s. and buildings and associated septic 
systems. A structure will be considered to be 
imminently threatened if its foundation, septic system. 



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APPROVED RULES 



or, right-of-way in the case of roads, is less than 20 
feet away from the erosion scarp. Buildings and roads 
located more than 20 feet from the erosion scarp or in 
areas where there is not obvious erosion scarp may 
also be found to be imminently threatened when site 
conditions, such as a flat beach profile or accelerated 
erosion, tend to increase the risk of imminent damage 
to the structure. 

(3) Temporary erosion control structures ma\ be used to 
protect onl\ the principal structure and its associated 
septic system, but not such appurtenances as gazebos, 
decks or any amenity that is allowed as an exception 
to the erosion setback requirement. 

(4) Temporary erosion control structures ma\ be placed 
seaward of a septic system when there is no 
altemativ e to relocate it on the same or adjoining lot 
so that it is landward of or in line with the structure 
being protected. 

(5) Temporary erosion control structures must not extend 
more than 20 feet past the sides of the structure to be 
protected. The landward side of such temporary 
erosion control structures shall not be located more 
than 20 feet seaward of the structure to be protected 
or the right-of-way in the case of roads. 

(6) The permittee shall be responsible for the removal of 
remnants of all or portions of any damaged temporary 
erosion control structure. 

(7) A temporary erosion control structure ma> remain in 
place for up to two years after the date of approval if 
it is protecting a building with a total floor area of 
5000 sq. ft. or less, or. for up to five years if the 
building has a total floor area of more than 5000 sq. 
ft. A temporary erosion control structure ma\ remain 
in place for up to five years if it is protecting a bridge 
or a road. The property owner shall be responsible for 
removal of the temporary structure within 30 days of 
the end of the allowable time period. A temporary 
erosion control structure may remain in place for up 
to five years regardless of the size of the structure if 
the community in which it is located is actively 
pursuing a beach nourishment project. For purposes 
of this Rule, a community is considered to be acti\ely 
pursuing a beach nourishment project if it has: 

(A) been issued a CAMA permit approving such 
project, or 

(B) been deemed worthv of further consideration 
by a U.S. Army Corps of Engineers' Beach 
Nourishment Reconnaissance Study, or 

(C) received a favorable economic evaluation 
report on a federal project approved prior to 
1986. 

(8) Once the temporary erosion control structure is 
determined to be unnecessary due to relocation or 
removal of the threatened structure, it must be 
removed b\ the pennittee within 30 days. 

(9) Removal of temporary erosion control structures shall 
not be required if they are covered by dunes with 
vegetation sufficient to be considered stable and 



natural. 

(10) Sandbags used to construct temporary erosion control 
structures shall be tan in color and three to tlve feet 
wide and seven to 15 feet long when measured flat. 
Base width of the structure shall not exceed 20 feet, 
and the height shall not exceed six feet. 

(11) Soldier pilings and other tvpes of devices to anchor 
sandbags shall not be allowed. 

(12) Excavation below mean high water in the Ocean 
Hazard AEC ma> be allowed to obtain material to fill 
sandbags used for emergency protection. 

(13) An imminentl> threatened structure ma> onl\ be 
protected once regardless of ov\nership. In the case of 
a building, a temporarv erosion control structure may 
be extended, or new segments constructed, if 
additional areas of the building become imminentK 
threatened. Where temporary structures are installed 
or extended incrementally, the time period for 
removal under Subparagraph (7) of this Paragraph 
shall begin at the time the initial erosion control 
structure is installed. For the purpose of this Rule: 

(A) a building and septic system will be considered 
as separate structures. 

(B) a road or highway shall be allowed to be 
incrementally protected as sections become 
imminentK threatened. The time period for 
removal of each section of sandbags shall 
begin at the time that section is installed in 
accordance with Subparagraph (7) of this 
Paragraph. 

(14) Existing sandbag structures may be repaired or 
replaced within their originalK permitted dimensions 
during the time period allowed under Subparagraph 
(7) of this Paragraph. 

(15) Existing sandbag structures that ha\e been properly 
installed prior to Ma\ 1. 1995 shall be allowed to 
remain in place according to the provisions of 
Subparagraphs (7). (8) and (9) of this Paragraph with 
the pertinent time periods beginning on Ma\ I. 1995. 

(b) Erosion Control Structures in the Estuarine Shoreline, 
Estuarine Waters, and Public Irust AECs. Work permitted by 
this general pennit shall be subject to the following limitations: 

( 1 ) no work shall be permitted other than that which is 
necessary to reasonabl> protect against or reduce the 
imminent danger caused by the emergencN or to 
restore the damaged property to its condition 
immediately before the emergency ; 

(2) the erosion control structure shall be located no more 
than 20 feet waterward of the endangered structure; 

(3) fill material used in conjunction with emergencN work 
for storm or erosion control in the Estuarine 
Shoreline. Estuarine Waters and Public Trust AECs 
shall be obtained from an upland source. 

(c) Protection. Rehabilitation, or Temporan* Relocation of 
Public Facilities or Transportation Corridors. 

( 1 ) Work pennitted b\ this general permit shall be subject 
to the follow ing limitations: 
(A) no work shall be permitted other than that 



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which is necessary to reasonably protect 
against or reduce the imminent danger caused 
by the emergency or to restore the damaged 
property to its condition immediately before the 
emergency; 

(B) the erosion control structure shall be located no 
more than 20 feet wateruard of the endangered 
structure; 

(C) any fill materials used in conjunction with 
emergency work for storm or erosion control 
shall be obtained from an upland source except 
that dredging for fill material to protect public 
facilities or transportation corridors will be 
considered in accordance with the standards in 
15ANCAC7H .0208; 

(D) all fill materials or structures associated with 
temporary relocations which are located within 
Coastal Wetlands, Estuarine Water, or Public 
Trust AECs shall be removed after the 
emergency event has ended and the area 
restored to pre-disturbed conditions. 

(2) This permit only authorizes the immediate protection 
or temporary rehabilitation or relocation of existing 
public facilities. Long-term stabilization or relocation 
of public facilities shall be consistent with local 
governments' post-disaster recovery plans and policies 
which are part of their Land Use Plans. 

History Note: Authority G.S. I13'229(cl): 1 13A-1 07(a). (b): 

1I3A-I15(b): lliA-118.1: 

Eff. November 1. 1985: 

Amended Ejf. April 1. 1999: February 1. 1996: June 1.1995. 

CHAPTER 16- ADULT HEALTH 

SUBCHAPTER 16A - MIGRANT HEALTH 

SECTION .0100 - GENERAL 

.0106 ELIGIBLE MIGRANTS 

All migrants are eligible for participation in the fee-for-service 
reimbursement aspect of the program. Migrant status shall be 
detennined by the provider of medical care services and certified 
by a Migrant (Farmworker) Health Program Eligibility 
Application form (DHHS 3753) signed by the patient, a person 
responsible for the patient, or the provider. There are no 
financial eligibility requirements. 

History Note: Authority G.S. I30A-223: 
Eff. Januaiy 1 . 1983: 
Amended Eff. October 1. 1990: 
AmendedEff. April 1. 1999. 

.0108 AUTHORIZATION 

Histon- Note: Authority G.S. 130A-223: 



Eff. January 1. 1983; 

AmendedEff. October 1. 1990: January 1. 1986; July 1. 1983: 

RepealedEff April 1. 1999. 

CHAPTER 18 - ENVIRONMENTAL HEALTH 

SUBCHAPTER 18A - SANITATION 
SECTION .2500 - PUBLIC SWIMMING POOLS 

.2526 DRESSING AND SANITARY FACILITIES 

(a) Dressing and sanitary facilities shall be provided at all 
pools, except for pools at hotels, motels, condominiums, and 
apartments where pool use is restricted to residents or guests. At 
hotels, motels, condominiums and apartments where the farthest 
unit is more than 300 feet from the pool, as measured along 
walkways provided for access by residents or guests to the pool 
area, a toilet shall be provided. 

(b) Partitions shall be of durable material, not subject to 
damage by water and shall be designed so that a waterway is 
provided between partitions and floor to permit thorough 
cleaning of the walls and floor areas with hoses and brooms. 

(c) Floors of the dressing facility shall be continuous 
throughout the areas. Floors shall have a slip-resistant surface 
that shall be relatively smooth, to insure complete cleaning. 
Floor drains shall be provided, and floors shall be sloped not less 
than '4 inch per foot toward the drains to insure positive 
drainage. 

(d) Hose bibs shall be provided such that all parts of the 
dressing facility interior can be reached with a 50 foot hose. 

(e) The minimum criteria for dressing and sanitary facilities 
shall be based upon the maximum bather load. 

(f) One water closet, one lavatory, and one urinal shall be 
provided for the first 100 male users. One additional water 
closet, lavatory, and urinal shall be provided for each additional 
200 male users or major fraction thereof up to a total of 500 
users. Where user load exceeds 500 male users, two additional 
water closets or urinals and one lavatory shall be provided for 
each additional 250 male users. Where the maximum bather 
load includes less than 50 male users, one water closet and one 
lavatory will be sufficient. 

(g) Two water closets and two lavatories shall be provided for 
the first 100 female users. One additional water closet and 
lavatory shall be provided for each additional 100 female users 
or major fraction thereof up to a total of 500 users. Where user 
load exceeds 500 female users, two additional water closets and 
one lavatory shall be provided for each additional 250 female 
users. Where the maximum bather load includes less than 50 
female users, one water closet and one !T\ator) v,ii! be 
sufficient. 

(h) Showers shall be provided in the proportion of one for 
each 200 persons at the time of maximum bather load. 

(i) The water heater shall be inaccessible to users. The 
system shall be designed such that water temperature at the 
shower heads and lavatories cannot exceed 110° Fahrenheit. 

(j) Soap dispensers for providing either liquid or powdered 



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soap shall be provided at each lavatory or inside shower. The 
dispenser shall be of all metal or plastic t>pe, with no glass 
permitted in these units. 

(k) If mirrors are provided, they shall be of shatterproof 
materials. 

(1) Toilet paper holders shall be provided at each water closet 
combination. 

Hislon- Nore: Authority G.S. I3UA-282: 

Eff. Men- 1. 1991: 

Amended Eff April 1 . 1999: January 1. 1996:. July I. 1992^ 

.2528 FENCES 

Sw imming pools shall be protected by a fence, wall, building, 
or other enclosure, or any combination thereof, which 
completely encloses the swimming pool area such that all of the 
following conditions are met: 

(1 ) Constructed so as to afford no external handholds or 
footholds. However, the use of wire mesh fences with 
a mesh size of 2' 4 inches or less is permitted; 

(2) A four foot (1.22 m) minimum height (from the 
outside approach) is provided entirely around the 
swimming pool; 

(3) The horizontal space between vertical members of the 
enclosure shall not e.xceed four inches; where the 
horizontal space between vertical members exceeds 1 
3/4 inches there shall be at least 30 inches between 
any horizontal bottom rails or stringers and the next 
horizontal rails or stringers; 

(4) The height of an\ opening under the bottom of the 
enclosure shall not exceed four inches ( 10 cm); 

(5) Openings under and through a fringe or barrier with 
the gate(s) closed shall be sized so that a 4''2 inch 
diameter sphere cannot be passed through the 
openings; 

(6) All gates and doors shall be equipped with 
self-closing and positive self-latching closure 
mechanisms and shall be equipped with locking 
devices. Gates provided to allow bathers access to the 
pool shall be located so as to open to the pool at a 
point where the water is less than tlve feet deep. On 
pools built after May 1 , 1 996. access gates shall open 
awa> from the pool except when natural topographs 
or other conditions dictate that it open inward. 
Release of the latch on the self-latching device shall 
be activated: 

(a) at a height no less than 54 inches above grade 
for wire mesh access gates and at a height no 
less than 54 inches above the horizontal bottom 
rail of a picket ornamental access gate; or 

(b) on the pool side of the gate at a distance of no 
less than three inches below the top of the gate 
provided. On fences constructed after April I. 
2000 there shall be no opening greater than 
one-half inch within 18 inches of where the 
latch release is activated \\hen the gate is 
closed. 

(7) Gates provided specificalK for access to equipment 



rooms shall be locked at all times when not in use by 
the pool operator; 

(8) Ground level doors and windows opening inside the 
pool enclosure must be self-closing or child protected; 
and 

(9) Self-closing, self-latching gates shall not be required 
for gates which are kept locked, or for entrances 
where access is controlled b\ a gate attendant and a 
lifeguard is on duty in the pool area. 

History Note: Authority CJ.S. 13UA-282: 

Eff. May 1. 1991: 

Amended Eff. April 1. 1999: January I. 1996: July 1. 1992. 

.2530 SAFETY PROVISIONS 

(a) Swimming pools shall have lifesaving equipment 
conspicuously and conveniently on hand at all times. A unit of 
lifesaving equipment shall include the following: 

(1) A light, strong pole not less than 12 feet long, 
including a bodv hook. 

(2) A minimum '/4 inch diameter throwing rope as long as 
one and one-half times the maximum width of the 
pool or 50 feet, whichever is less, to which has been 
firmK attached a U.S. Coast Guard approved ring 
buoy. A rescue tube or rescue can shall be accepted 
as a substitute for the ring buo> where it is 
accompanied bN a lifeguard who has been trained to 
use it properly. 

(b) Two units of lifesaving equipment must be provided for 
any pool which exceeds 3.000 square feet (186 sq m) of total 
surface area. 

(c) When a swimming pool does not ha\e at least one 
lifeguard on duty, a sign shall be posted which has clearly 
legible letters of at least four inches (10 cm) in height stating: 
"WARNING-NO LIFEGUARD ON DUTY." In addition there 
shall be signs stating: "CHILDREN SHOULD NOT USE THE 
SWIMMING POOL WITHOUT ADULT SUPERVISION", 
and: "ADULTS SHOULD NOT SWIM ALONE". Wading 
pools which do not have a lifeguard inside the wading pool 
enclosure shall have a sign posted stating "WARNING NO 
LIFEGUARD ON DUTY". Such signs shall be mounted 
permanently. 

(d) A sign prohibiting pets and glass containers in the pool 
area shall be provided. 

(e) Effective April I. 2000 a telephone capable of directK 
dialing 911 or other emergencv notification s\stem shall be 
provided and accessible to all pool users within 300 feet of the 
pool. 

HIstor}- Note: Authority C.S. l3()A-282: 

Eff. May 1. 1991: 

Amended Eff. April 1. 1999: .January I. 1996: July I. 1992. 

.2531 WADING POOLS 

Wading pools shall meet all design specifications for 
swimming pools and wading pools included in Rules 
.2512-. 2530 of this Section with the following exceptions: 
( 1 ) Wading pools shall be phvsicalK separate from other 



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APPROVED RULES 



public swimming pools except that a fill pipe and 
valve from a swimming pool recirculation system can 
be used to introduce water to a wading pool. 

(2) Ever\ wading pool shall be equipped with a 
circulation system which is separate from, and 
independent of. the circulation system of the 
swimming pool. Such circulation system shall at least 
consist of a circulating pump, piping, a filter, a 
rate-of-flow meter, a disinfectant feeder, two inlets, 
two main drains with "T" connecting piping, and one 
automatic surface skimmer. Individual components of 
a wading pool system must meet the criteria of Rule 
.2518 of this Section. 

(3) The capacity of the circulation system shall be capable 
of filtering and disinfecting the entire volume of water 
in the wading pool 12 times in every 24 hours. 

(4) Wading pools shall be equipped with main drains 
located at the deepest point of the wading pool and 
covered by gratings which meet the requirements of 
Rule .25 1 8(k) of this Section. 

(5) Wading pools shall be equipped with a surface 
overflow system capable of removing floating 
material. 

(6) Wading pools shall not be deeper than 24 inches (61 
cm) at the deepest point. 

(7) Wading pools' floor slope shall not exceed one foot in 
12 feet. 

(8) Wading pools shall be located in the vicinity of the 
shallow end of the swimming pool, and shall be 
separated from the swimming pool by a fence or 
structure similar to that described in Rule .2528 of 
this Section, which shall be equipped with self-closing 
and positive self-latching closure mechanisms, and 
shall be equipped with permanent locking devices. 
Wading pool fences constructed after April 1. 2000 
shall be at least four feet high. 

(9) Wading pools shall be designed to provide at least 10 
square feet per child. 

(10) Depth markers shall not be required at wading pools. 

History Note: A uthority G. S. 130A-282; 

Eff. May 1, 1991: 

Amended Eff. April I. 1999: Jumiaiy I. 1996. 

.2532 SPAS AND HOT TUBS 

Spas and hot tubs shall meet all design specifications for 
swimming pools and wading pools included in Rules 
.25 12-. 2530 of this Section with the following exceptions: 

(1) The circulation system equipment shall provide a 
turnover rate for the entire water capacity at least once 
every 30 minutes. 

(2) The arrangement of water inlets and outlets shall 
produce a uniform circulation of water so as to 
maintain a uniform disinfectant residual throughout 
the spa. 

(3) A minimum of two inlets shall be provided with inlets 
added as necessary to maintain required flowrate. 

(4) Water outlets shall be designed so that each pumping 



system in the spa (filter systems or booster systems if 
so equipped) provides the following: 

(a) Two drains connected by "T" piping. 
Connecting piping shall be of the same 
diameter as the main drain outlet. Filter system 
drains shall be capable of emptying the spa 
completely. In spas constructed after April 1 . 
2000 drains shall be installed at least three feet 
apart or located on two different planes of the 
pool structure. 

(b) Filtration systems shall provide at least one 
surface skimmer per 100 square feet, or 
fraction thereof of surface area. 

(5) The water velocity in spa or hot tub discharge piping 
shall not exceed 10 feet per second (3.05 m/second); 
except for copper pipe where water velocity shall not 
exceed eight feet per second (2.44 m/second). Suction 
water velocity in any piping shall not exceed six feet 
per second (1.83 m/second). 

(6) Spa recirculation systems shall be separate from 
companion swimming pools. 

(a) Where a two-pump system is used, one pump 
shall provide the required turnover rate, 
filtration and disinfection for the spa water. 
The other pump shall provide water or air for 
hydrotherapy turbulence without interfering 
with the operation of the recirculation system. 
The timer switch will activate only the 
hydrotherapy pump. 

(b) Where a single two-speed pump is used, the 
pump shall be designed and installed to provide 
the required turnover rate for filtration and 
disinfection of the spa water at all times 
without exceeding the maximum filtration rates 
specified in Rule .2519 of this Section. The 
timer switch shall activate only the 
hydrotherapy portion of the pump. 

(c) Where a single one-speed pump is used, a 
timer switch shall not be provided. 

(7) A timer switch shall be provided for the h>'drotherapy 
turbulence system with a maximum of 15 minutes on 
the timer. The switch shall be placed such that 
bathers must leave the spa to reach the switch. 

(8) The maximum operational water depth shall be four 
feet (1 .22 m) measured from the water line. 

(9) The maximum depth of any seat or sitting bench shall 
be two feet (61 cm) measured from the waterline. 

(10) A minimum height between the top of the spatiot tub 
rim and the ceiling shall be T'z feet. 

(11) Depth markers shall not be required at spas. 

(12) Steps, step-seats, ladders or recessed treads shall bi- 
provided where spa and hot uib depths are greater 
than 24 inches (61 cm). 

(13) Contrasting color bands or lines shall be used to 
indicate the leading edge of step treads, seats, and 
benches. 

(14) A spa or hot tub shall be equipped with at least one 
handrail (or ladder equivalent) for each 50 feet ( !5.2 



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m) of perimeter, or portion thereof, to designate points 
of entry and exit. 

(15) Where water temperature exceeds 90° Fahrenheit 
(32° C). a caution sign shall be mounted adjacent to 
the entrance to the spa or hot tub. It shall contain the 
following warnings in letters at least ',2 inch in height: 

(a) CAUTION: 

(b) -Pregnant women; elderly persons, and persons 
suffering from heart disease, diabetes, or high 
or low blood pressure should not enter the 
spa/Tiot tub without prior medical consultation 
and permission from their doctor; 

(c) -Do not use the spahot tub while under the 
influence of alcohol, tranquilizers, or other 
drugs that cause drowsiness or that raise or 
lower blood pressure; 

(d) -Do not use alone; 

(e) -Unsupervised use by children is prohibited; 

(f) -Enter and exit slowly; 

(g) -Observe reasonable time limits (that is. 10-15 
minutes), then leave the water and cool down 
before returning for another brief stay; 

(h) -Long exposure ma\' result in nausea. 

dizziness, or fainting; 
(i) -Keep all breakable objects out of the area. 

(16) A sign shall be posted in the immediate vicinity of the 
spa or hot tub stating the location of the nearest 
telephone and indicating that emergency telephone 
numbers are posted at that location. Those emergencs 
telephone numbers shall include the name and 
telephone number of the nearest available police, fire 
or rescue unit, physician, ambulance service, or 
hospital. 

(17) A sign shall also be posted requiring a shower for 
each user prior to entering the spa or hot tub and 
prohibiting oils. bod> lotion, and minerals in the 
water. 

Histoiy Note: Aitthorin- G.S. 130.4-282: 

Eff. May 1. 1991: 

Amended Eff. April 1. 1999: Jamtaiy I. 1996: July 1. 1992. 

.2535 WATER QUALITY STANDARDS 

Water qualitv shall be maintained in accordance with the 
following: 

( 1 ) The chemical quality of the water shall be maintained 
in an alkaline condition at all times with the pH 
between 7.2 and 7.8. 

(2) The clarit\ of the water shall be maintained such that 
the main drain grate is readily visible from the pool 
deck at all times. 

(3) Disinfection shall be provided in accordance with 
manufacturers' instructions for all pools b\ a chemical 
or other process that meets the criteria listed as 
follows: 

(a) registered with the U.S. Environmental 
Protection Agencv for pool water or potable 
water; 



(b) provides a residual effect in the pool water 
which can be measured by simple portable field 
test equipment; 

(c) will not impart any immediate or cumulative 
adverse physiological effects to pool bathers 
when used as directed; 

(d) will not produce anv undue safety hazard when 
stored or used as directed; 

(e) will not damage or cause excessive wear of 
pool components or equipment; 

(f) will demonstrate reduction of total coliform 
and fecal coliform to a level at least equivalent 
to free chlorine at a level of one part per 
million in the same bod\ of water 

(4) When chlorine is used as the disinfectant, a free 
chlorine residual of at least one part per million (ppm) 
shall be maintained throughout the pool whenever it 
is open or in use. Pools which use chlorine as the 
disinfectant must be stabilized with cyanuric acid 
except at indoor pools or where it can be shown that 
cyanuric acid is not necessan, to maintain a stable free 
chlorine residual. 

(5) When bromine or compounds of bromine are used as 
the disinfectant, a free bromine residual of at least X\\o 
parts per million, shall be maintained throughout the 
pool whenever it is open or in use. 

(6) When chlorine or bromine are used as the 
disinfectant, automatic chemical feeders shall be used. 
Automatic chlorine or bromine feeders shall be 
manufactured and installed in accordance with NSF 
Standard number 50 which is incorporated by 
reference including an\ subsequent amendments and 
editions. This material is available for inspection at 
the Department of Environment and Natural 
Resources. Division of Environmental Health. 2728 
Capital Boulevard. Raleigh. North Carolina. Copies 
may be obtained from NSF International. 3475 
Plymouth Road, PO Box 130140. Ann Arbor. 
Michigan 48311-0140 at a cost of seventy dollars 
(S70.o"b). 

(7) When biguanide is used as the disinfectant, a residual 
of 30 to 50 parts per million shall be maintained 
throughout the pool whenever it is open or in use. 

(8) When silver/copper ion s\ stems are used, the copper 
concentration in the pool water shall not exceed one 
part per million and a chlorine residual must be 
maintained in accordance with Paragraph (4) of this 
Rule. 

(9) The use of chlorine in its elemental (gaseous) form for 
disinfection of public swimming pools is prohibited. 

(10) Test kits or equipment capable of measuring 
disinfectant level and pH must be maintained at all 
public sw imming pools. 

(11) The pool operator shall maintain written records of 
the operating conditions of each pool. Records shall 
be maintained at the pool site for a period of not less 
than six months. Records shall include the follow ing: 
(a) daiK recording of the disinfectant residual in 



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APPROVED RULES 



(12) 



the pool: 

(b) daily recording of pool water pH; 

(c) daily recording of water temperature in heated 
pools; and 

(d) recording of activities pertaining to pool water 
maintenance including chemical additions and 
filter backwash cycles. 

Water temperature in heated swimming pools shall not 
exceed 90° Fahrenheit (32°C) and in heated spas 
shall not exceed 104° Fahrenheit (40 °C). 



History Note: Authority G.S. 1 30.4-282: 

Eff May I, 1991: 

Amended Eff. April 1. 1999: January 1. 1996: July 1. 1992. 

SECTION .2800 - SANITATION OF CHILD DAY CARE 
CENTERS 

.2801 DEFINITIONS 

The following definitions shall apply throughout this Section: 

( 1 ) "Adequate" means determined by the Department to 
be of sufficient size, volume, or technical 
specifications, to effectively accommodate and 
support the planned, current, or projected workloads 
for a specified operational area. 

(2) "Approved" means procedures and domestic or 
commercial equipment determined by the Department 
to be in compliance with this Section. Food service 
equipment and utensils which meet and are installed 
in accordance with National Sanitation Foundation 
(NSF) standards shall be approved. 

(3) "Communicable Condition" means the state of being 
infected vsith a communicable agent but without 
symptoms. 

(4) "Communicable Disease" means an\ disease that can 
be transmitted from one person to another directly, by 
contact with excrement, other body fluids, or 
discharges from the body: or indirectly, via substances 
or inanimate objects, such as contaminated food, 
drinking glasses, toys or water: or via vectors, such as 
flies, mosquitoes, ticks, or other insects. 

(5) "Department" or "DENR" means the North Carolina 
Department of Environment and Natural Resources. 
The term also means the authorized representative of 
the Department. 

(6) "Division of Child Development" means the Division 
of Child Development of the N.C. Department of 
Health and Human Services. 

(7) "Eating and Cooking Utensils" means and includes 
any kitchenware. tableware, glassware, cutler)', 
utensils, containers, or other equipment with which 
food or drink comes in contact during storage, 
preparation, or serving. 

(8) "Environmental Health Specialist" means a person 
authorized to represent the Department. 

(9) "Food" means an\ raw. cooked, or processed edible 
substance, ice. beverage, or ingredient used or 
intended for use or for sale in whole or in part for 



human consumption. 

(10) "Frying" means to cook over direct heat in hot oil or 
fat. 

(11) "Hermetically Sealed" means a container designed 
and intended to be secure against the entry of 
microorganisms and to maintain the commercial 
sterility of its contents after processing. 

(12) "Hygroscopic Food" means food which readily takes 
up and retains moisture, such as bean sprouts. 

(13) "Impervious" means that which will not allow 
entrance or passage, such as an airtight plastic 
container that will not allow the entrance of moisture 
or vermin. 

(14) "Multi-Service Articles" mans tableware, including 
flatware and holloware which are designed, 
fabricated, and intended by the manufacturer to be 
washed, rinsed, sanitized, and re-used. 

(15) "Multi-Use Articles" means bulk food containers and 
utensils designed, fabricated, and intended by the 
manufacturer to be washed, rinsed, sanitized, and re- 
used. The term includes items such as food storage 
containers, beverage pitchers, serving spoons and 
bowls, tongs, and spatulas. The term does not include 
multi-service articles as defined in this Section. 

(16) "Potable Water" means water from an approved 
source which is suitable for drinking. 

(17) "Potentially Hazardous Food" means any food or 
ingredient, natural or synthetic, in a form capable of 
supporting the growth of infectious or toxigenic 
microorganisms, including Clostridium botulinum. 
This term includes raw or heat treated food of animal 
origin, raw seed sprouts, and treated foods of plant 
origin. The term does not include foods which have 
a pH level of 4.6 or below or a water activity value of 
0.85 or less. 

(18) "Putrescible Materials" means materials likely to rot 
or putrefy, such as fruit, vegetables, meats, dairy 
products, or similar items. 

(19) "Sanitarv' Sewage System" means a complete system 
of sewage collection, treatment, and disposal and 
includes septic tank systems, connection to a public or 
community sewage system, sewage reuse or recycle 
systems, mechanical or biological treatment systems. 
or other such systems. 

(20) "Sanitize" means the approved bactericidal treatment 
by a process which meets the temperature and 
chemical concentration levels in 15A NCAC 18A 
.2812. 

(21) "Sewage" means the liquid and solid human body 
waste and liquid waste generated by water-using 
fixtures and appliances, including those associated 
with foodhandling. The term does not include 
industrial process wastewater or sewage that is 
combined with industrial process wastewater. 

(22) "Single-Service Articles" means tableware, including 
flatware and hollowware, carr>-out utensils and other 
items such as bags, containers, stirrers, straws, 
toothpicks, and wrappers which are designed. 



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fabricated and intended b\ the manufacturer for 
one-time use. 
(23) "Single-Use Articles" means bulk food containers and 
utensils intended by manufacturer to be used once and 
discarded. The term includes items such as formed 
buckets, bread wrappers, pickle barrels, and No. 10 
cans. The term does not include single-service 
articles as defined in this Section. 

HislotyNote: Authorin- G.S. 110-91; 

Eff. July 1. 1991: 

Amended Eff. March 1. 1995: 

Temporary Amendment Eff. April 15. 199S: 

Amended Eff. April 1 . 1999. 

.2802 APPROVAL OF CONSTRUCTION AND 
RENOVATION PLANS 

(a) Plans drawn to scale and specifications for new child care 
centers shall be submitted to the local health department for 
review and approval prior to initiating construction. Plans drawn 
to scale and specifications for changes to building dimensions, 
kitchen specifications, or other modifications to existing child 
care centers shall also be submitted to the local health 
department for review and approval prior to construction. Plans 
drawn to scale and specifications for prototype "franchise" or 
"chain" child care centers shall be submitted to DENR. Division 
of Environmental Health. Environmental Health Services 
Section, Children's Environmental Health Branch. PO Box 
29534. Raleigh. North Carolina 27626-0534. The initial 
inspection for new construction or the first inspection follow ing 
modifications to existing child care centers shall not be made by 
the local health department unless these plans have been 
approved. 

(b) Review of the plans by the local health department or the 
Environmental Health Services Section shall be based on the 
requirements of this Section. 

(c) Construction and modifications shall compK with the 
approved plans. 

Histoty Note: A uthority G. S. 110-91: 
Eff. July I. 1991: 

Temporary .Amendment Eff. .April 15. 199H: 
Amended Eff. April 1. 1999. 

.2810 SPECIFICATIONS FOR KITCHENS 

(a) For child care centers licensed for or serving food to fewer 
than 30 children: 

( 1 ) Domestic kitchen equipment ma\ be used. Domestic 
kitchen equipment shall include at least a 
two-compartment sink, refrigeration equipment and 
adequate cooking equipment. Child care centers 
using multi-service articles shall also provide a 
dishwasher. In lieu of a dishwasher and 
two-compartment sink, a three-compartment sink with 
drainboards or counterspace space of adequate size on 
each end may be used; 

(2) A separate lavatory for handwashing is required in 
food preparation areas. If the dishwashing area is 



separate fi^om the food preparation area, an additional 
lavatory shall be required in the dishwashing area. 
These handwashing lavatories shall be used onh b\ 
food service personnel; and 
(3) A commercial hood shall be installed when foods are 
fried on-site. The hood shall be installed in 
accordance with the North Carolina Building Code 
and approved by the local building code enforcement 
agent, 
(b) For child care centers licensed for or serving food to 30 
or more children: 

(1) Approved food service equipment shall be used. 
When domestic refrigeration equipment is used the 
following pro\isions shall apply : 

(A) Potentially hazardous foods shall not be 
prepared prior to the day that such foods are to 
be served; 

(B) PotentialK hazardous foods that have been 
heated shall not be reheated or placed in 
refrigeration to be used in whole or in part on 
another day; 

(C) Salads containing potentially hazardous food 
shall not be prepared on-site; and 

(D) All meats, poultry, and fish shall be purchased 
in pre-portioned. ready-to-cook form. 

(2) Food service equipment shall include: 

(A) Where meals are prepared and multi-service 
articles are used, at least a three-compartment 
sink with drainboards or countertop space of 
adequate size on each end. refrigeration 
equipment, and cooking equipment; 

(B) Where meals are prepared and only single- 
service articles are used, at least a two- 
compartment sink w ith drainboards or counter 
top space of adequate size on each end. 
refrigeration equipment. and cooking 
equipment; or 

(C) Where no meals are prepared and onl\ single- 
service articles are used, refrigeration 
equipment, and at least a domestic two- 
compartment sink with drainboards or 
countertop space of adequate size on each end. 

(3) A separate food preparation sink with drainboards 
shall be provided for the washing and processing of 
foods except where plan review shows that volume 
and preparation frequency do not require separate 
facilities. 

(4) A separate lavatory for handwashing is required in 
food preparation and food service areas. If the 
dishwashing area is separate from the food 
preparation area, an additional lavatory shall be 
required in the dishwashing area. These handwashing 
lavatories shall be used onh b> food service 
personnel. 

(5) A commercial hood shall be installed when foods are 
fried on-site. The hood shall be installed in 
accordance with the North Carolina Building Code 
and appro\ed b\ the local building code enforcement 



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APPROVED RULES 



agent. 

(c) If baby food is prepared in the infant or toddler area, an 
infant'toddler food service area shall be provided. The 
infant/toddler food service area shall be used exclusively for the 
storage of infant bottles, wanning of bottles, storage of full>' 
prepared bab\ foods in their containers and the mixing of dry 
cereals with formula or with potable water from a source other 
than a lavatory used for handwashing. The food preparation 
counters, bottle warming equipment, food and food contact 
surfaces shall not be within reach of children. The infant toddler 
food service area shall contain at least an adequate refrigerator, 
bottle wanning equipment, an easiK cleanable counter top and 
a separate lavatory for food service handwashing onl\. 
Domestic food service equipment ma> be used in infant/toddler 
food service areas regardless of child care center size. 

(1) All equipment shall be cleaned at least daily. 
Wanning equipment shall be cleaned and sanitized as 
required in Rule .2812 or .2813 of this Section. 

(2) After each use, all multi-use and multi-service eating 
and drinking articles shall be cleaned and sanitized in 
the child care center kitchen. 

(3) Single-service articles shall be handled as required in 
Rule .2814 of this Section. 

(4) Counter, shelf or cabinet space shall be provided for 
food storage. All dry cereal shall be stored in closed, 
labeled containers. Food supplies shall be stored in 
accordance with this Section. 

(d) Equipment that was installed in a child care center prior 
to July I. 1991 that does not meet all the design and fabrication 
requirements of this Section shall be deemed acceptable if it is 
in good repair, capable of being maintained in accordance with 
the rules of this Section and the food-contact surfaces are 
nontoxic. This exception shall not apply to equipment in 
Paragraph (c) of this Rule or to commercial hoods that are 
required for frying foods. Replacement equipment and new- 
equipment acquired after July 1, 1991 shall meet the 
requirements of Paragraphs (a), (b) and (c) of this Rule. 
Licensed child care centers that increase the number licensed for 
or that increase the number of children to whom they serve food. 
shall comply with all the rules of this Section. Upon change of 
ownership, or the closing of the operation and the issuance of a 
new license, the child care center shall compK with all the rules 
of this Section. 

History- Note: Authoril^■ G.S. 110-91: 

Eff. July 1. 1991: 

Amended Eff. March 1. 1995: 

Temporary Amendment Eff. April 15. 1998: 

Amended Eff. April 1. 1999. 

.2812 MANUAL CLEANING AND SANITIZING 

(a) Child care centers licensed for or serving food to 30 or 
more children, shall provide and use a three-compartment sink 
with drainboards or counter top space of adequate size on each 
end if utensils and equipment are manually cleaned and 
sanitized. 

(b) Child care centers licensed for or serving food to fewer 
than 30 children mav use a domestic dishwasher and two 



compartment sink with drainboards or countertop space of 
adequate size on each end for washing and rinsing of multi-use 
and multi-service articles and equipment. Utensils and 
equipment shall then be sanitized in the sink as required in 
Subparagraph (e)(4) of this Rule. Sink compartments shall be 
large enough to fully submerge the largest items to be washed 
and each compartment shall be supplied with hot and cold 
running water. 

(c) Drainboards or countertop space of adequate size shall be 
provided for proper handling of soiled utensils prior to washing 
and cleaned utensils following sanitizing. For child care centers 
originalK licensed on or after April 15. 1998. drainboards or 
countertop space shall be no less than 24" long. Replacement 
equipment and new equipment acquired on or after April 15. 
1998 shall meet the requirements of this Paragraph. Upon 
change of ownership, or the closing of the operation and the 
issuance of a new license, a child care center shall also comply 
with this Paragraph. 

(d) Equipment and utensils shall be preflushed or prescraped 
and. when necessary, presoaked to remove gross food particles 
and soil. 

(e) Except for fixed equipment and utensils too large to be 
cleaned in sink compartments, manual washing, rinsing, and 
sanitizing shall be conducted in the following sequence; 

( 1 ) Sinks shall be cleaned prior to use. 

(2) Equipment and utensils shall be thoroughK' washed in 
the first compartment with a hot detergent solution 
that is kept clean. 

(3) Equipment and utensils shall be rinsed free of 
detergent and abrasives with clean water in the second 
compartment. 

(4) The food-contact surfaces of equipment and utensils 
shall be sanitized in the third compartment by: 

(A) Immersion for at least one minute in clean, hot 
water at a temperature of at least 170''F 
(77^C); 

(B) Immersion for at least two minutes in a clean 
solution containing at least 50 parts per million 
(ppm) of available chlorine at a temperature of 
atleast75°F(24°C): 

(C) Immersion for at least two minutes in a clean 
solution containing at least 12.5 ppm of 
available iodine and having a pH not higher 
than 5.0 and at a temperature of at least 15°¥ 
(24°C):or 

(D) Immersion for at least two minutes in a clean 
solution containing at least 200 ppm of 
quaternary ammonium products and having a 
temperature of at least 75 °F (24°C), provided 
that the product is labeled to show that it is 
effective in water having a hardness ^/alue at 
least equal to that of the water being used. 

(f) For utensils and equipment which are either too large or 
impractical to sanitize in a dishwashing machine or dishwashing 
sink, a spra\-on or wipe-on sanitizer shall be used. When 
spray-on or wipe-on sanitizers are used, the chemical strengths 
shall be those required for sanitizing multi-use eating and 
drinking utensils. Spray-on or wipe-on sanitizers shall be 



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prepared daih and kept on hand for bactericidal treatment. 

(g) When hot water is used for sanitizing, the following 
facilities shall be provided and used: 

( 1 ) An integral heating device or fixture installed in, on. 
or under the sanitizing compartment of the sink 
capable of maintaining the water at a temperature of 
at least I70°F (77°C); and 

(2) A numerically scaled indicating thermometer, accurate 
to ±3° F (± l.5°C), convenient to the sink for 
fi-equent checks of water temperature; and 

(3) Dish baskets of such size and design to permit 
complete immersion of the tableware, kitchenware, 
and equipment in the hot water. 

(h) An approved testing method or equipment shall be 
available, convenient, and regularly used to test chemical 
sanitizers to insure minimum prescribed strengths. 

(i) After sanitization, all equipment and utensils shall be air 
dried. 

Histmy Note: A uthorin- G. S. 110-91: 
Eff. July I. 1991: 

Amended Eff. February 1. 1995: July I. 1993: 
Temporary Amendment Eff. April 15. I99<S: 
Amended Eff. April 1. 1999. 

.2813 MECHANICAL CLEANING AND SANITIZING 

(a) Machine or water line mounted numericalK scaled 
indicating thermometers, accurate to ±3"^ (± l.5^C). shall be 
provided for commercial dishwashing equipment to indicate the 
temperature of the water in each tank of the machine and the 
temperature of the final rinse water as it enters the manifold. 

( b) Drainboards or counter top space of adequate size for the 
proper handling of soiled utensils prior to washing and cleaned 
utensils following sanitization shall be provided. 

(c) Equipment and utensils shall be flushed or scraped and, 
when necessaPv, soaked to remove gross food particles and soil 
prior to being washed in a dishwashing machine unless a 
prevvash cycle is a part of the dishwashing machine operation. 
Equipment and utensils shall be placed in racks, trays, or 
baskets, or on conveyors, in a wa> that food-contact surfaces are 
exposed to the unobstructed application of detergent wash and 
clean rinse waters and that permits free draining. 

(d) Machines using chemicals for sanitization ma> be used 
provided that a suitable testing method or equipment is available, 
convenient, and regularK used to test chemical sanitizers to 
insure minimum prescribed strengths. 

(e) All dishwashing machines shall be thoroughlv cleaned at 
least once a day or more often when necessary to maintain them 
in a satisfacton. operating condition. 

(f) After sanitization, all equipment and utensils shall be air 
dried. 

History Note: Aiithorit}- U.S. 110-91; 
Eff July I. 1991: 
Amended Eff February 1. 1995: 
Temporary Amendment Eff April 15, 1998; 
Amended Eff April 1. 1999. 



.2817 TOILETS 

(a) All toilet fixtures and toilet rooms shall be located to 
compl> with the requirements of these Rules. Storage in toilet 
rooms shall be limited to toileting and diapering supplies. All 
toilet fixtures shall be easily cleanable. and in good repair. 
Toilet fixtures shall be child-sized. properK adapted adult toilets 
or potl\ chairs for _\oung toddlers. 

(b) Toilet fixtures shall be cleaned and sanitized when soiled 
and at least on a dail\ basis. A solution of 100 ppm chlorine 
solution or other equivalent methods approved b\ the 
Department shall be used for sanitizing. 

(c) If pottv chairs are used, the\ shall be located in a toilet 
room equipped with a spra\ rinse toilet or utilitv sink. Pottv 
chairs shall be emptied, rinsed, cleaned and sanitized when 
soiled or at least on a daily basis, with 1 00 ppm chlorine solution 
or equivalent method approved b\ the Department. 

(d) When cloth diapers are used, the diaper changing area 
shall be located proximate to a toilet room or t1ush-rimmed sink. 

History Sate: Authority U.S. 110-91; 

Ejf.Julyl. 1991: 

Amended Eff April 1. 1999: February 1. 1995. 

.2819 DIAPERING AND DIAPER CHANGING 
FACILITIES 

(a) Infants and toddlers shall be diapered at areas designated 
exclusively for diapering. 

(b) Diapering surfaces shall be smooth, nonabsorbent. easiK 
cleanable and shall be approved b\ the Department. 

(c) Diapering surfaces shall be kept free of storage and shall 
be cleaned with a mild solution of water and detergent and 
sanitized after each changing. A solution of 100 ppm chlorine 
or equivalent methods approved b\ the Department shall be used 
for sanitizing. A suitable testing method or kit shall be available 
and used dailv to insure compliance with the minimum 
prescribed strength. These solutions shall be used from separate 
and properK labeled, hand pump sprav bottles. 

(d) Each diaper changing area in a child care center shall 
include a handwash lavatorv for caregivers, except for centers 
licensed for fewer than 13 children and located in a residence. 
For centers licensed for fewer than 13 children and located in a 
residence a handwash lavatory shall be in or near diaper 
changing areas. 

(e) The use of disposable gloves by caregivers during the 
diaper changing process is required if the worker has cuts or 
sores on hands or chapped hands. Gloves shall be discarded 
after use with each child. 

(0 Caregivers may dispose of feces in diapers in the toilet, 
but shall not rinse soiled cloth diapers, or training pants or 
clothes. Soiled cloth diapers, training pants or clothes shall be 
sent to a diaper service or placed in a tightly closed plastic bag 
or other equivalent container approved b\ the Department and 
sent dail> to the child's home to be laundered. 

(g) Pre-moistened towelettes or damp paper towels shall be 
used for cleaning children during the changing process. Soiled 
paper or tovselettes shall be discarded after use with each child 
and shall be disposed of in a cov ered plastic-lined receptacle. 

(h) Soiled disposable diapers shall be placed in a cleanable. 



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APPROVED RULES 



plastic-lined, covered container and removed to an exterior 
garbage area at least daily. 

(i) Whether or not disposable gloves are used, caregivers shall 
wash their hands after each individual diaper change in 
accordance with Rule .2828 of this Section. 

(j) Children's hands shall be washed in the lavatory' after each 
individual diaper change in accordance with Rule .2828 of this 
Section, or. in the case of infants, with single-use, pre-moistened 
towelettes. 

(k) Instructions providing information to care givers in proper 
methods of diaper-changing and handwashing shall be posted in 
each diaper changing area. 

History Note: Authority G.S. 110-91: 
Eff. July 1. 1991: 
Amended Eff'. February 1. 1995: 
Temporary Amendment Eff. April 15. 1998: 
Amended Eff. April 1. 1999. 

.2820 STORAGE 

(a) Rooms or spaces shall be provided for the storage of 
equipment, furniture, toys, clothes, beds, cots, mats, and supplies 
and shall be kept clean. Shelving or other storage, constructed 
in a manner to facilitate cleaning, shall be provided for orderly 
storage of supplies, including mats and toys. 

fb) All corrosive agents, insecticides, rodenticides, herbicides, 
bleaches, detergents, polishes, items containing petroleum 
products, any product which is under pressure in an aerosol 
dispensing can, and any substance which may be hazardous to a 
child if ingested, inhaled, or handled shall be stored in a locked 
storage room or cabinet, locked with a combination lock or ke\. 
Keys shall be kept out of the reach of a child and shall not be 
stored in the lock. 

(c) A properly mixed sanitizing solution and a mild detergent 
solution approved by the Department shall not be required to be 
stored in a locked storage room or locked cabinet. These 
solutions shall be clearly labeled and shall not be accessible to 
children. 

(d) Medications shall be stored in a separate locked cabinet 
or other locked container. Medications which require 
refrigeration shall be stored in a locked box or locked container 
in a designated area for such storage in a refrigerator which is 
not accessible to children. 

(e) Individual cubicles, lockers, or coat hooks shall be 
provided for storage of coats, hats, or similar items. Coat hooks 
not in individual cubicles or lockers, shall be spaced at least 12 
horizontal inches apart. Individual toothbrushes or combs used 
by children shall be labeled and stored in indiv idual toothbrush 
or comb cases or other approved methods. 

Hision Note: A utliorit\- G. S. 110-91 : 

Eff July 1. 1991 : 

Amended Eff April I. 1999: Februaiy 1. 1995. 

.2822 FURNITURE AND TOYS 

(a) Furniture shall be of easily cleanable construction, and 
shall be kept clean and in good repair. 

(b) Equipment and toys provided b\ the child care center shall 



be of easily cleanable construction, and shall be kept clean and 
in good repair. In infant and toddler rooms, mouth-contact 
surfaces shall be cleaned and sanitized in accordance with 15A 
NCAC I8A .2812 at least daily and more frequently if 
necessary. 

(c) Toys, furniture, cribs, or other items accessible to 
children, shall be free of peeling, flaking, or chalking paint. 

(d) Water play activity centers shall be filled just prior to use 
of the center Water must be dumped at least daily or more often 
if visibly soiled. Tfie water activity unit, including toys, shall be 
cleaned and sanitized at least daily or more often if soiled. 
Wading pools are not water play activity centers and are 
regulated under 15A NCAC 18A .2500. 

History- Note: A uthorin- G. S. 110-91: 

Eff. July 1. 1991: 

Amended Eff February 1 . 1995: July 21 1992: 

Temporary Amendment Eff. April 15. 1998: 

.Amended Eff. April 1. 1999. 

.2824 FLOORS 

(a) Floors and floor coverings of all food preparation, food 
storage, utensil-washing areas, toilet rooms, and laundry areas 
shall be constructed of nonabsorbent. easily cleanable. durable 
material such as sealed concrete, terrazzo, ceramic tile, durable 
grades of linoleum or plastic, or tight wood impregnated with 
plastic. 

(b) Floors and floor coverings of all sleeping and play areas 
shall be constructed of easily cleanable, durable materials. 

(c) Carpeting used as a floor covering shall be of closely 
woven construction, properly installed, and easily cleanable. 
Carpeting is prohibited in food preparation areas, equipment and 
utensil-washing areas, food storage areas, laundry areas, and 
toilet rooms. 

(d) Floors in areas accessible to children, shall be free of 
peeling, flaking or chalking paint. 

(e) All floors shall be kept clean and maintained in good 
repair 

(f) Floors in all rooms and areas shall be free of identified lead 
poisoning hazards as defined under 15A NCAC 18A .3101. 

HistotyNote: Authority G.S. 110-91: 

Eff July 1. 1991: 

.Amended Eff .4pril 1. 1999: Februaiy 1. 1995: July 25. 1992. 

.2825 WALLS AND CEILINGS 

(a) The walls and ceilings, including doors and windows, of 
all rooms and areas shall be kept clean and in good repair All 
walls shall be nonabsorbent and easily cleanable. 

(b) Ceilings in rooms in which food is stored, handled or 
prepared, utensil-washing rooms, and toilet moms shall be 
non-absorbent and easiK' cleanable. Acoustic ' eiling niateiial 
may be used where ventilation precludes the possibility of grease 
and moisture absorption. 

(c) Walls and ceilings, including doors and windows in areas 
accessible to children, shall be free of peeling, flaking, or 
chalking paint. 

(d) Walls and ceilings, including doors and windows, of all 



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APPROVED RULES 



rooms and areas shall be free of identified lead poisoning 
hazards as defined under 1 5 A NC AC 1 8 A .3 1 1 . 

Hisloiy Note: A uthohty G. S. 11(1-91: 

Eff.July I. 1991: 

AmendedEfl April 1. 1999: July 23, 1992. 

.2828 HANDWASHING 

(a) Emplo\ees shall be instructed that handwashing is the 
single most important line of defense in preventing the 
transmission of disease-causing organisms. Employees shall 
wash hands upon reporting for work; before and after handling 
food; before feeding infants or children; before handling clean 
utensils or equipment; after toileting or handling of body fluids 
(e.g.. saliva, nasal secretions, vomitus, feces, urine, blood, 
secretions from sores, pustulant discharge); after diaper 
changing; after handling soiled items such as garbage, mops, 
cloths, and clothing; and after removing disposable gloves. 

(b) Children shall wash hands upon arrival at the child care 
center; after each diaper change or visit to the toilet; before 
eating meals or snacks; before and after water activity pla\ ; and 
after handling animals or animal cages. 

(c) Proper handwashing procedures shall include: 
( I ) Using soap and tempered running water; 

Rubbing hands vigorously with soap and tempered 

water for 1 5 seconds; 

Washing all surfaces of the hands, to include the 

backs of hands, palms, wrists, under tlngemails, and 

between fingers; 

Rinsing well for 10 seconds; 

Drv'ing hands with a paper towel or mechanical dry er; 

Turning off faucet with paper towel. 



(2) 



(3) 



(4) 
(5) 
(6) 



History Note: A uthority G. S. 110-91: 

Eff.July 1. 1991: 

.Amended Eff. April 1. 1999: February 1. 1995. 

.2830 SOLID WASTES 

(a) Solid wastes containing food scraps or other putrescible 
materials shall, prior to disposal, be kept in durable, 
rust-resistant, nonabsorbent, water-tight, rodent-proof, and easily 
cleanable containers such as standard garbage cans which shall 
be covered with tight lids when filled or stored or not in 
continuous use. Refuse including scrap paper, cardboard boxes 
and similar items shall be stored in containers, rooms or 
designated areas approved by the Department. 

(b) Facilities shall be provided for the washing and storage of 
all garbage cans and mops for child care centers, except for 
centers licensed for fewer than 13 children and located in a 
residence. Cleaning facilities shall include combination faucet, 
hot and cold running water, threaded nozzle, and curbed 
impervious pad sloped to drain into an approved sanitary sewage 
system. Other can cleaning facilities approved prior to July 1, 
1991 shall be deemed approved if in good repair and functioning 
properK. Can cleaning facilities replaced after .luK 1. 1991 
shall meet the requirements of this Section. 

(c) Where containerized systems are used for garbage storage, 
facilities shall be provided for the cleaning of such systems. A 



contract for off-site cleaning shall constitute compliance with 
this Section. 

(d) Solid wastes shall be disposed of so as to prevent insect 
breeding and public health nuisances. 

History Note: A uthority G. S. 110-91: 
EJl July 1. 1991: 
Amended Effi February 1. 1995: 
Temporary Amendment Eff. April 15. 1998: 
.Amended Ejl April 1 . 1999. 

.2832 OUTDOOR AREAS 

(a) The premises, including the outdoor pla\ area, shall be 
kept clean, drained and free of litter and hazardous materials. 
Grass and other vegetation shall be maintained in a manner 
which does not encourage the harborage of vermin. 

(b) All outdoor activity areas shall be kept clean. All debris, 
glass, dilapidated structures, and broken play equipment shall be 
removed. The play areas shall be free from unprotected wells, 
grease traps, cisterns, and utilitv equipment. 

(c) For outdoor play equipment, the following shall appK: 

(1) Equipment shall be kept in good repair, free of 
peeling, flaking, or chalking paint and free of rust and 
corrosion; 

(2) The sandbox used in outdoor play shall be constructed 
to allow for proper drainage and shall be kept clean. 

(d) Premises, including the outdoor play area, shall be free of 
identified lead poisoning hazards as defined under 1 5 A NCAC 
18A .3101. 

Histoiy Note: A uthority- G. S. 110-91 : 

Eff.jiilyl. 1991: 

Amended Eff. April 1. 1999: July 23. 1992. 



TITLE 19A - DEPARTMENT OF TRANSPORTATION 

CHAPTER 2 - DIVISION OF HIGHWAYS 

SUBCHAPTER 2D - HIGHWAY OPERATIONS 

SECTION .0800 - PREQUALIFICATION: 
ADVERTISING AND BIDDING REGULATIONS 

.0816 DISQUALIFICATION OF BIDDERS 

(a) The Department ma\ disqualify a contractor from further 
bidding until he has applied for and has been requalified in 
accordance v\ith Rule .0801 of this Section for an> of the 
following reasons: 

( 1 ) unsatisfactory progress in accordance with the terms 
and conditions of existing or previous contracts as 
specified in Article 108-8 or Article 105-7 of the 
Standard Specifications for Roads and Structures. 

(2) uncompleted contracts v\hich. in the Judgment of the 
Chief Engineer. ma\ hinder or prevent the timeh 
completion of additional work if awarded. 

(3) failure to compK with Article 108-6 of the Standard 



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1200 



APPROVED RULES 



Specifications for Roads and Structures. 

(4) failure to satisfy tiie Disadvantaged Business 
Enterprise requirements of the project special 
provisions. 

(5) failure to submit the documents required by Article 
109-9 of the Standard Specifications for Roads and 
Structures within 60 days after being requested by the 
Engineer, or the submission of false information. 

(6) direct personal recruitment of DOT employees for 
employment if: 

(A) the personal contact is initiated by the 
contractor: 

(B) the employee works either for the DOT 
Construction Unit or in construction operations 
of any of the 14 Highway Divisions in a 
capacity of direct involvement with highway 
construction work; and 

(C) the employee has decision-making authority for 
the current project on which the employee and 
contractor are currently working. 

(7) failure to return overpayments as directed by the 
Engineer. 

(b) The Department shall disqualify a contractor from further 
bidding until he has applied for and has been requalified in 
accordance with Rule .0801 of this Section for any of the 
following reasons: 

(1) being declared in default in accordance with Article 
108-9 of the Standard Specifications for Roads and 
Structures. 

(2) failure to comply with prequalification requirements. 

(3) the submission of more than one bid for the same 
contract by an individual, partnership, joint venture, 
or corporation prequalified under the same 
Prequalification Number. 

(4) evidence of collusion among bidders; each participant 
in such collusion shall be disqualified. 

(5) failure to furnish a non-collusion affidavit upon 
request. 

(6) failure to comply with a written order of the Engineer 
as provided in Article 105-1 of the Standard 
Specifications for Roads and Structures or oral 
directives given by the Department's project 
personnel, if in the judgment of the Chief Engineer- 
Operations such failure is of sufficient magnitude to 
warrant disqualification. 

(7) the Department has not received the amount due 
under a forfeited bid bond or under the terms of a 
performance bond. 

(c) Upon a determination that a contractor should be 
disqualified for one or more of the reasons listed in Paragraph 
(a) or (b) of this Rule, the Department may remove all entities 
prequalified under the same Prequalification Number. 

HistoiyNote: Authority G.S. 136-18(1 ): 136-28.1 : 

Effi April 3. 1981: 

Recodified from 19A NCAC 2D.U814: 

Amended Efi'. April 1. 1999: December 1. 1994: October I. 

1993: November 1. 1991. 



1201 NORTH CAROLINA REGISTER Januan' 15, 1999 13:14 



RULES REVIEW COMMISSION 



1 his Section contains the agenda for the next meeting of the Rules Review Commission on Thursday. Januar\ 21. 199Q. 
10:00 a.m. . at 1307 Glenwood Ave.. AssembK Room. Raleigh. NC. Anyone wishing to submit written comment on any rule 
before the Commission should submit those comments to the RRC staff, the agencv. and the indi\ idual Commissioners b> 
Monday. January 18. 1999. at 5:00 p.m. Specific instructions and addresses may be obtained from the Rules Re\ iew 
Commission at 919-733-2721. Anyone wishing to address the Commission should notify the RRC staff and the agency at 
least 24 hours prior to the meeting. 



RULES REVIEW COMMISSION MEMBERS 



Appointed by Senate 

Teresa L. Small wood. Vice Chairman 
John Arrowood 

Laura Devan 

Jim Funderburke 

Dav id Twiddy 



Appointed by House 

Paul Powell. Chairman 

Anita White. 2"" Vice Chairman 

Mark Garside 

Steve Rader 

George Robinson 



RULES REVIEW COMMISSION MEETING DATES 



January I 


1. 1999 


February 


18. 1999 


March 1 \ 


!. 1999 


April 15. 


1999 


May 20, 


1999 


June 17, 


1999 



July 15. 1999 
August 19. 1999 
September 16. 1999 
October 21. 1999 
November 18. 1999 
December 16. 1999 



LOG OF FILINGS 
RULES SUBMITTED: DECEMBER 20, 1996 THROUGH JANUARY 20, 1997 



AGE\C\ /DIVISION 



DHHS/MH/DD/SAS 



Rl LE NAME 



Scope 
Definitions 
Staff 

Operations 
Client Rights 
Ph\sical Plant 

DENR/COMMISSION FOR HEALTH SERVICES 

Eligibility Requirements 
Medical Services Provided 
Procedure for Requesting Services 

NC BOARD OF EMPLOYEE ASSISTANCE PROFESSIONALS 

Scope 

License Application 

Transcripts/Other Supporting Docs. 

Review of Applications 

Notice of Denial of Initial Application 

Disciplinary Action/Hearing 

Curricula'Minimum Standards Training 

Ethical Standards 



Rl 1 E 


ACTION 


lONCAC 14V .4301 


Adopt 


lONCAC 14V .4302 


Adopt 


lONCAC 14V .4303 


Adopt 


lONCAC 14V .4304 


Adopt 


lONCAC 14V .4305 


Adopt 


lONCAC 14V .4306 


Adopt 


15ANCAC21H .0110 


Amend 


15ANCAC21H .0111 


Amend 


15ANCAC21H .0113 


Amend 


JALS 

21 NCAC 11 .0101 


Adopt 


21 NCAC II .0104 


Adopt 


21 NCAC II .0105 


Adopt 


21 NCAC 11 .0106 


Adopt 


21 NCAC 11 .0107 


Adopt 


21 NCAC II .0108 


Adopt 


21 NCAC 11 .0109 


Adopt 


21 NCAC 11 .0110 


Adopt 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1202 



RULES REVIEW COMMISSION 



Fees 
Penalties 



21 NCAC 11 .0111 
21 NCAC 11 .0112 



Adopt 
Adopt 



RULES REVIEW COMMISSION 

December 17, 1998 
MINUTES 

The Rules Review Commission met on December 17, 1998, in the West Wing Conference Room of the Methodist Building, 1307 
Glenwood Avenue, Raleigh, North Carolina. Commissioners in attendance were Chairman Paul Powell, David R. Twiddy, Teresa 
L. Smallwood. Steven P. Rader. Jim R. Funderburk. R. Palmer Sugg, Laura Devan, John Arrowood, Mark P. Garside, and George 
S. Robinson. 

Staff members present were: Joseph J. DeLuca. Staff Director; Bobby Bryan, Rules Review Specialist; and Sandy Webster. 



The following people attended: 
Ed Kitchen 
John Kime 
Bill Ross 
Marc Lodge 
Alan Horton 
Warren Plonk 
Tom West 
Noah Huffstetler 
Jackie Herbster 
Janice Fain 
Diane Pompey 
Bruce S. Ambrose 
David Work 
Juanita Gaskill 
Dwight Langston 
Boyd DeVane 
Frank Crawley 
Jackie Sheppard 
Ellie Sprenkel 
Theresa Shackelford 
Jim Taylor 
Bill Hale 
Jean Stanley 
Robin Pendergraft 
Scott Perry 
Steve Woodson 
Steve Zoufaly 
Sally Meacham 
Dedra Alston 
Marilyn Brothers 
Gina Rutherford 
Malcolm Blalock 
Carolyn Allen 
Linda Miles 
Portia Rochelle 
Judy Walton 
Kristen Allen 
Vernon Cox 
Jessica Gill 
Mark Cuilla 
Glen Peterson 



City of Greensboro 

Piedmont Triad Regional Water Authority 

City of Greensboro 

DHHS 

A Deep River Group 

State Budget 

Poyner& Spruill/Merck-Medco Managed Care 

Kilpatrick Stockton 

Kilpatrick Stockton 

DHHS/Child Care 

Attorney General 

Attorney General 

NC Board of Pharmacy 

DENRj'Marine Fisheries 

DENR/'DWQ 

DENR/DWQ 

Attorney General 

DHHS/DFS 

Insurance 

Insurance 

Labor 

Insurance 

NC Board of Nursing 

Attorney General 

Attorney General 

NC Farm Bureau 

DENR/DWQ 

Attorney General 

DENR 

DHHS/MH/DD/SAS 

DENR 

DENR 

City of Greensboro 

City of Greensboro 

DHHS/DMA 

DHHS 

DENR 

DENR/Soil & Water 

DENR 

DENR 

Administration 



1203 



NORTH CAROLINA REGISTER 



JanuanlS, 1999 



13:14 



RULES REV lEW COMMISSION 



Karen Saunders Kroger 

Noel Allen NC State Board of CPA Examiners 

Bob Brooks NC State Board of CPA Examiners 

Ann Christian NC Retail Merchants Association 

Angle Waldorf Labor 

Molly Masich OAH 

Man, Shuping General Assembly 

Denise Stanford NC Board of Pharmacy 

Jimmy Jackson Eckerd Corporation 

Gray Stewart Kerr Drug. Inc. 

Mark Gregory Kerr Drug. Inc. 

Liz Kovascki'tz DENR/DWQ 

Peter .Ackley City of Greensboro 

Ann Wall Labor 

Tom Harris Labor 

Joni Bowie General Assembly 

SWEARING IN OF NEW MEMBERS 

Mr. Bryan swore in the new members: Commissioner Powell who was reappointed, and Commissioners Laura Devan and John 
Arrowood. Commissioner R. Palmer Sugg was previously sworn in. 

APPROVAL OF MINUTES 

The meeting was called to order at 10:05 a.m. with Chairman Powell presiding. He asked for any discussion, comments, or 
corrections concerning the minutes of the November 19. 1Q98 meeting. There being none, the minutes were approved. 

FOLLOW-UP MATTERS 

4 NCAC 38 .0101, .0102, and .0103: COMMERCE/Banking Commission - No response was received from the agency on these 
rules. 

4 NCAC 3H .0002: COMMERCE/Banking Commission - No response was received from the agency on this rule. 

10 NCAC 3R .61 12: DHHS/Medical Care Commission - The rewritten rule submitted by the agency was objected to due to lack of 
statutory authority and ambiguity. The rewritten rule did not cure any of the earlier objections and in addition is either an improper 
attempt to incorporate the agency's own materials by reference or is unnecessary in that it attempts to merely tell the agency to do 
what it is already legally required to do. 

10 NCAC 3U .0305, .1601. .2805. .2806. and .2810: DHHS/Child Care Commission - The rewritten rules submitted by the agency 
were approved by the Commission. 

10 NCAC 20C .0206: DHHS/Division of Vocational Rehabilitation Services - The rewritten rule submitted by the agency was 
approved by the Commission. 

1 1 NCAC 8 .0912 - INSURANCE/Manufactured Housing Board: The rewritten rule submitted by the agency was approved by the 
Commission. 

12 NCAC 7D .1201. .1202. .1301. .1302, .1303, .1304. .1305, .1306, and .1307: JUSTICE/NC Private Protective Ser\'ices Board 
- No response was received from the agency on these rules. 

12 NCAC 9B .0301 : JUSTICE Criminal Justice Education & Training Standards Commission - The rewritten rule submitted by the 
agency was approved by the Commission. 

15A NCAC IN .0403. .0604. .0701. and .0703: DENR - The rewritten rules submitted by the agency were approved by the 
Commission. 

15A NCAC 2D .1208: DENR^'Environmental Management Commission - The rewritten rule submitted by the agency was approved 



13:14 NORTH CAROLINA REGISTER Jaituarv 15, 1999 1204 



RULES REVIEW COMMISSION 



by the Commission. 

15A NCAC 3P .0202: DENR/Marine Fisheries Commission - The rewritten rule submitted by the agency was approved by the 
Commission. 

15A NCAC 8G .0401. ,0402. .0403. .0404, .0405, .0406. .0407, and .0409: DENR/Water Pollution Control Systems Operators 
Certification Commission - The rewritten rules submitted by the agency were approved by the Commission. 

1 5 A NCAC 1 8 A .2804: DENR/ Commission for Health Services - The rewritten rule submitted by the agency was approved by the 
Commission. 

21 NCAC 46 .1612. .2306. .2502, .2609. and .261 1 : N C Board of Pharmacy - The rewritten rules submitted by the agency were 
approved by the Commission with the exception of .2306 which was withdrawn by the agency. 

21 NCAC 57A .0305: N C Appraisal Board - The agency requested additional time to look at this rule. 

LOG OF FILINGS 

Chairman Powell presided over the review of the log and all rules were unanimously approved with the following exceptions: 

4 NCAC IE .0104: COMMERCE/Commerce Finance Center- The Commission objected to this rule due to ambiguity. In (c), it 
is not clear what information has been prescribed by the secretary. This objection applies to existing language in the rule. 

4 NCAC 1 1 Rules: COMMERCE/Commerce Finance Center - These rules were returned to the agency for failure to comply with 
the APA. The rules were adopted only 15 days after publication of the notice of text. 

4 NCAC IK .0102: COMMERCE/Commerce Finance Center - The Commission objected to this rule due to lack of statutory 
authority. In (pM2), there is no authority for the agency to require calculations to be done in accordance with an agency policy which 
has not been adopted as a rule. 

4 NCAC IK .0103: COMMERCE/Commerce Finance Center- The Commission objected to this rule due to ambiguity. In (a), it is 
not clear who designates or what the standards are for designating counties as urban counties or cities as entitlement cities or urban 
county cities. This objection applies to existing language in the rule. 

4 NCAC 1 K .0302: COMMERCE/Commerce Finance Center - The Commission objected to this rule due to ambiguity. It is unclear 
what is meant by "certain" criteria. This objection applies to existing language in the rule. 

4 NCAC IK .0402: COMMERCE/Commerce Finance Center - The Commission objected to this rule due to lack of statutory 
authority. The last sentence amounts to a waiver provision by allowing the Commerce Finance Center to give special instructions. 
No guidelines are provided so there is no authority for the rule. 

10 NCAC 26H .0304: DHHS/Division of Medical Assistance - The Commission objected to this rule due to ambiguity. In 
(k)(l)(C)(i), it is not clear what standards the Division of Medical Assistance will use in specifying salary levels. In (1)(4)(D), it is 
not clear what standards the Division will use in granting permission to continue cost settlement. In (u), it is not clear what constitutes 
"just cause." In (y )( I )(B), it is not clear what standards the Division of Facilitv Services is to use to verify that a sprinkler system 
is needed. In (y){l )(C), it is not clear who are "appropriate authorities." In (y)(I)(E), it is not clear what standards DMA will use 
in granting prior approval for installation. This objection applies to existing language in the rule. 

Commissioner Sugg abstained from voting on all the Environmental Management Commission rules. 

I5A NCAC 2B .0250 and .0251: DENR/Environmental Management Commission - The Commission listened to extensive 
presentation and then voted to approve these rules with changes previously submitted by the EMC to satisfy staffs concerns. 

I5A NCAC 7H .0308: DENR/Coastal Resources Commission - The Commission objected to the original rule due to ambiguity in 
(d)( 1 ). It is unclear which alternative is more or less restrictive, who is to make the decision, or the standards for making the decision. 
A rewritten rule submitted by the agency was approved by the Commission and any existing objections were removed.. 

1 5 A NCAC 70 .0202: DENR/Coastal Resources Commission - The Commission objected to the original rule due to lack of statutory 



1205 NORTH CAROLINA REGISTER Januar\- 15, 1999 13:14 



R LLES RE VIEW COMMISSIO.\ 



authorit\. In (4) there is a prohibition against camping. DCM can give written permission, amounting to a \\ai\er of the rule. 
However there are no standards for granting or denying the waiver, as required by 1 50B-I9(6). The rewritten rule submitted by the 
agencN was approved by the Commission. 

1 7 NC AC 6B .0 1 1 8: DEPARTMENT OF REVENUE - The Commission objected to this rule due to ambiguity . In { I ) it is unclear 
what the distinction is between (2) and (3). The first cites a participant who has been issued a "letter of warning due to noncompliance 
with program requirements. The seemingl\ more serious "Probation" status in (3) simpK requires that the participant has been issued 
a "warning letter." Is there a distinction between a "letter of warning" and a "warning letter?" If not then how is it determined 
whether someone is in (2) or (3)? Does "noncompliance with program requirements" in (2) have some specific meaning*^ Is there 
anything a participant could do that would result in a warning that is not coming from "noncompliance v\ith program requirements?" 

21 NCAC 8N .0302: NC State Board of Certified Public Accountant Examiners - The Commission objected to the original rule due 
to anibiguit>. It is unclear in (b) whether firms organized under G.S. 55B or 57C shall not have an> non-CPA ("minoritv") ownership 
or whether such ownership (non-CPAs) may be a majoritv. The rewritten rule submitted b\ the agenc> was approved b\ the 
Commission. 

21 NCAC 32S .0105: NC Medical Board - The Commission objected to the original rule due to lack of statuton. authority. There 
is no authoritv to require applicants for renewal to submit an\ previousK unspecified information desired b\ the Board as set out in 
(2) that may or may not be related to qualifications for licensure and renewal. Presumably the Board ma\ seek an\ information 
required to compK with registration or renewal statutes or rules and this would be alreadv included on the registration form, set out 
in item ( 1 ). The rewritten rule submitted b\ the agencv was approved b) the Commission. 

21 NCAC 32S .0! 13: NC Medical Board - The Commission objected to the original rule due to lack of statutorv authority and 
necessitv'. G.S. 90-14 specifies the grounds that the Board may use to revoke a license. If this rule expands those grounds (it used 
different wording in a number of cases) then there is no authority for such expansion. If it does not add anything to the statutor>' 
grounds, then it is unnecessary. The rewritten rule submitted by the agencv was approved by the Commission contingent upon 
receiving a technical change. The technical change was received. 

21 NCAC 32S .01 14: NC Medical Board - The Commission objected to this rule due to lack of necessity. Except for (c) this rule 
does not seem to add an\lhing that is not already set out in statute. The rule was w ithdrawn b\ the agencv. 

21 NCAC 32S .0117: NC Medical Board - The Commission objected to the original rule due to lack of statuton authorit>. There 
is no proper authorit\ cited for these fees. The rewritten rule submitted bv the agency was approved b> the Commission. 

21 NCAC 46 .1804: NC Board of Pharmacv - The Commission objected to this rule due to lack of statutorv authorir\ and ambiguity. 
This rule amendment either goes beyond the Board's authorit> or is unclear. It is unclear what is meant b\ "the alteration" of a 
prescription order at the end of (a). Aside from the lack of claritx in the rule, it nonetheless seems the board is exceeding its regulatorv' 
authority. The board has no authority to direct third parties in how to act or to refrain from acting. The rule is unclear as to the action 
that is required or forbidden. It seems to be directed towards persons over whom the board has no authoritv. 

21 NCAC 46 .2506: NC Board of Pharmacv - The Commission objected to this rule due to lack of statuton. authority. The rule on 
its face is not ambiguous and allows pharmacists to choose to work over the limit specified in the rule. If this is so. there is no 
necessity for the rule. E\ en if it were necessarv. there is no authorit> for this rule as to how pharmacies are to conduct their business. 
(This rule regulates the pharmacv permit holder, not the pharmacist.) The authority cited simpU provides that a pharmacN must 
register with the board and suppK certain limited information (the identity of the pharmacist manager and all pharmacist personnel). 
If that information is provided, the board has no authorit) to den\ the permit. Bevond that there is no additional authorit> over a 
pharmacv. The substantive authority cited. G.S. 90-85.32, is authorit\ to set rules governing the "filling, refilling, and transfer of 
prescriptions"." This is authority over the pharmacists, not the pharmacy. The activity that is regulated in 90-85.32 constitutes the 
practice of phamiacv. which requires a licensed person, a pharmacist, to fulfill (G.S. 90-85. 3(p) - (r)). The rule, as vsritten. is 
unnecessan, and bevond the board's authoritv. 

COMMISSION PROCEDURES AND OTHER MATTERS 

The next meeting will be on January 21. 1999. 

The meeting adjourned at 1 :42 p.m. 

Respectfully submitted. 
Sandv Webster 



13:14 NORTH CAROLmA REGISTER Januan' IS, 1999 1206 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the 
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of 
Administrative Hearings. (919) 733-2698. .Also, the Contested Case Decisions are available on the Internet at the following 
address: http://www. state, nc. us/OA H/hearings/decision/caseindex. htm. 



OFFICE OF ADMINISTRATIVE HEARINGS 

Chief .Administrative Law Judge 

JULIAN MANN, III 

Senior Administrative Law Judge 

FREDG. MORRISON JR. 

ADMINISTHATIVE LAW JUDGES 



Brenda B. Becton 
Sammie Chess Jr. 
Beecher R. Gray 
Melissa Owens 



Meg Scott Phipps 

Robert Roosevelt Reilly Jr. 

Dolores O. Smith 



AGENCY 

ADMINISTRATION 

Occaneechi Band of the Saponi Nation v NC Comm ol Indian .AtTairs 
Carlton L Coleman v Administration. Division ot Purchase and Contract 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 

Alcoholic Beverage Control Commission v Kenneth .lerome 

Alcoholic Beverage Control Commission v Jesse Jacob Joyner. Jr 

Alcoholic Beverage Control Commission \ Trade Oil Company, inc 

Alcoholic Beverage Control Commission v Panlana Bobs, Inc 

Alcoholic Beverage Control Comm v Partnership T/A C & J's Shipwreck 

Alcoholic Beverage Control Comm v Harold Webster Hadnott 

Alcoholic Beverage Control Commission v Axis Entertainment 

Sokha Huor Ramadneh v Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v Delores Williams AInaqib 

Alcoholic Beverage Control Commission v Axis Entertainment 

Alcoholic Beverage Control Commission v James Aubrey Stephenson 

Alcoholic Beverage Control Commission v Bridgette Dee Williams 

Alcoholic Beverage Control Commission v Robert Lee. Inc 

Alcoholic Beverage Control Comm v Partnership. T/A Variet\ Pic Lip #21 

Tarus Jackson v Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Comm \ Simple Elegance Restaurants, Inc 

.■\lcoholic Beverage Control Comm v Daniel Hinton Green 

.Alcoholic Beverage Control Comm v Zaheer Ahmad Bajwa 

Alcoholic Beverage Control Comm v Jerald Taft Howell. Jr 

Alton Ollivierra Perry v Alcoholic Beverage Control Commission 

BOARD OF CONTRACTORS 

Heritage Pointe Builders. Inc & Patrick Hannon v Bd of Contractors 

CRIME CONTROL AND PI BLiC SAFET> 

Loretta Battle \ Crime Victims Compensation Commission 
Cynthia .'Xustm \ Crime Victims Compensation Commission 
Marcella Skaggs \ Crime Victims Compensation Commission 
Talmadge E McHenr^ v Crime Victims Compensation Commission 
Linda Caldwell Wiggins \ Crime Victims Compensation Commission 
Kenneth T Lvtle v Crime Victims Compensation Commission 



CASE 




DATE OF 


PI BLISHED DECISION 


NIMBER 


AIJ 


DECISION 


REGISTER CITATION 


96 DOA U006 


Smith 


12/07/98 


13 13 NCR 1075 


98DOA 1016 


Phipps 


12/16/98 




97 ABC 1205 


Phipps 


07/23/98 




97 ABC 1438 


Phipps 


06/19/98 




98 ABC 0033 


Reillv 


08/21/98 




98 ABC 0293 


Reilllv 


09/17/98 


13 11 NCR 933 


98 ABC 0296 


Monison 


08/19/98 




98 ABC 0324 


Smith 


12/02/98 




98 ABC 0357*' 


Reillv 


07/02/98 




98 ABC 0382 


Smith 


06/30/98 


13.03 NCR 350 


98 ABC 0392 


Chess 


07/30/98 




98 ABC 0401 »' 


Reillv 


07/02/98 




98 ABC 0494 


Chess 


09/01/98 




98 ABC 0501 


ReilK 


08/11/98 




98 ABC 0518 


Gra\ 


08/11/98 




98 ABC 0714 


Morrison 


10/09/98 




98 ABC 0768 


Smith 


07/13/98 




98 ABC 0850 


Phipps 


10/26/98 




98 ABC 0889 


Morrison 


11/06/98 




98 ABC 0960 


Owens 


10/30/98 




98 ABC 1171 


Smith 


12/03/98 




98 ABC 1298 


Owens 


11/23/98 




97 LBC 0243 


Phipps 


08/1 7/98 




97 CPS 0654 


Gra\ 


08/10/98 




97CPS 1499 


Reillv 


08/12/98 


1 3 05 NCR 533 


98 CPS 0065 


Owens 


06/05/98 




98 CPS 01 16 


Grav 


06/24/98 




98 CPS 01 53 


Chess 


08/27/98 




98 CPS 01 76 


ReilK 


07/06/98 





1207 



NORTH CAROLINA REGISTER 



Jatiuarv 15, 1999 



13:14 



CONTESTED CASE DECISIONS 



AGENC> 

Shirle\ Hennhand v Crime Victims Compensation Commission 
Brenda Jean Thomas \ Crime Victims Compensation Commission 
Tare\ton L Johnson \ Crime Victims Compensation Commission 
Mia Thompson-Clark v Crime Victims Compensation Commission 
GodtVe\ Akenabor v Crime Victims Compensation Commission 
Valine H Thompson \ Crime Victims Compensation Commission 
Rutus K Williams \ Depanment ofCrime Control & Public Sat'et\ 
[■a\e V. Pouell \ Crime Victims Compensation Commission 
Hubert lee Grant v Crime Victims Compensation Commission 
Mars FliTabeth Troutman v Crime Victims Compensation Comm 
Brenda H Alston v Crime Victims Compensation Commission 
Shirles P Chen v Crime Victims Compensation Commission 
kenneth B Hall. Sr v Crime Victims Compensation Commission 

ENGINEERS AND SI RVEVORS, BOARD OF EXAMINERS FOR 

Thomas A Truelo\e, Jr . PH \ Bd /txammers/Tngmeers and Sur\e\ors 

EN\ IRONMENT AND NATl R.\E RESOl R( ES 

Ladane Williamson and Odell Decarol Williamson \ DFNR 
Teresa Hetlin \ Department ortn\ ironment and Natural Resources 
Ronald Prater \ Department of Ens ironment and Natural Resources 
James F Smiths Department of Imsironment and Natural Resources 
William tiickman \ Department of tn\ ironment and Natural Resources 
Hickor\ Alliance v Department of En\ ironment and Natural Resources 

and 
Uodfres Lumber Compan\. Inc 
John M Silxia v Department of Ensironment and Natural Resources 
Godfres Lumber Compan\, Inc \ Dept /Environment & Natural Resources 

and 
Hickop, Alliance 
Gregors B Jackson, Brenda R Jackson \ Greene Cty HIth Dept . ENR 
Robert G GotT. Sr v Department of En\ ironment and Natural Resources 
Scotland Water. Cedar Circle v En\ ironment and Natural Resources 
Womble & Compans V Dept of Ens ironment and Natural Resources 
Eric Glenn Harrison s Ens ironment and Natural Resources 
Robert G GotT. Sr \ Department of Ens ironment and Natural Resources 
Mid South Water Systems. Inc s Ensironment and Natural Resources 
Wilbur E Earp s Depanment of Ensironment and Natural Resources 
Norell Bahrs v Carteret Ct\ Health Dept . DENR 
Charles Das is s Depanment of Ens ironment and Natural Resources 
JC Fass \ Department of Ensironment and Natural Resources 
Hugh & Bonnie Mills s Dept of Ensironment and Natural Resources 
JM's Professional Construction Sscs . Ltd s DENR 
Ronald E Bennetts Ensironment and Natural Resources 
Don W Hunt s Halifax Counts Health Depanment 

Division of Air Quality 

Sebnng Des . Patrick Queen/John Amirante s DENR. Air Oualits 

Division of Coastal Management 

Preston Warren s Disision of Coastal Management. Wilmington. NC 
Marion T Noes DENR. Disision of Coastal Management 

Division of Environmental Health 

Gerald P Sigal s DENR Disision of Ens ironmental Health 

Ronnie Lee Hamill s Pitt Crs Health Dept . Ens ironmental Health Dis 

Division of Environmental Management 

Sase Our Risers. Inc . et al s Tossn of Flighlands. EHNR. 1 ns Mgmt . 

William W Cobes. Jr, Secretary 
LS Dept of the Interior Nat'l Park Ssce s Environmental Mgmt Comm 

Division of Marine Fisheries 

Lady LaShanda Melvin Brsant s EHNR. Division of Marine Fisheries 
Gerald Moore, et al v DENR, Division of Marine Fisheries 

Division of Solid Haste Management 

Steve .Aldridge et al s DENR. Disision of Solid Waste Management 

Division of H ater Quality 

Rasmond 1. Martin s DENR. Division of Water Quality 

Worsley Oil Companies. Inc v DENR. DWQ. Groundwater Section 

Silver Bullet. Inc v DENR. Division of Water Quality 



CASE 




DATE OF 


PIBLISHEDD 


ECISION 


NIMBER 


AIJ 


DECISION 


REGISTER (ITATION 


98 CPS 0263 


Mortison 


08/11/98 






98CPS03I4 


Morrison 


08/11/98 






98 CPS 0327 


ReilK 


09/02/98 






98 CPS 0349 


Chess 


05/14/98 






98 CPS 0427 


Ossens 


10/30/98 


13 12 NCR 


1015 


98 CPS 0674 


Morrison 


11/18/98 






98 CPS 0676 


Morrison 


1 0/23/98 






98 CPS 0808 


Osvens 


08/28/98 






98 CPS 0839 


Morrison 


10/21/98 


13 10 NCR 


853 


98 CPS 0901 


Smith 


11/12/98 






98 CPS 0952 


Phipps 


11/10/98 






98 CPS 1015 


Phipps 


09/17/98 






98 CPS 1 1 70 


Mann 


12/21/98 






98 ELS 0047 


Mann 


11/12/98 


13 12NCR 


1035 


96EHR 1926 


Gras 


09/01/98 


1 3 07 NCR 


609 


97 EHR 0409 


Morrison 


07/29/98 






97EHR0451 


Reills 


07/02/98 






97 EHR 1 365 


Chess 


07/17/98 






97 EHR 1388 


Grav 


1 1 /06/98 


13 11 NCR 


928 


97 EHR 1607 


Reills 


07/17/98 






97 EHR 1646 


Chess 


06/03/98 






97 EHR 1676 


Reillv 


07/17/98 






98 EHR 0042 


Reills 


07/02/98 






98 EHR 0072*- 


Grav 


06/25/98 






98 EHR 0236 


Smith 


06/09/98 






98 EHR 0345 


Chess 


11/05/98 






98 EHR 0373 


Reilly 


08/28/98 






98EHR0448»- 


Gray 


06/25/98 






98 EHR 0548 


Gray 


12/02/98 






98 EHR 0606 


Smith 


10/21/98 






98 EHR 0884 


Osvens 


11/02/98 






98 EHR 0890 


Owens 


11/09/98 






98 EHR 0957 


Gras 


12/11/98 






98 EHR 1090 


Phipps 


1 2/08/98 






98 EHR 1217 


Owens 


12/21/98 






98 EHR 1237 


Osvens 


1 2/29/98 






98 EHR 1285 


Gray 


12/17/98 






98 EHR 0926 


Phipps 


12/11/98 






98 EHR 01 77 


Phipps 


1 0/05/98 






98 EHR 0976 


Smith 


1 2/02/98 






98 EHR 0051 


Smith 


1 0/02/98 






98 EHR 1200 


Smith 


1 2/29/98 






91 EHR 0377 


Gras 


07/30/98 






98 EHR 0410 


Smith 


08/20/98 


13 06 NCR 


578 


97 EHR 1459 


Gray 


07/20/98 






98 EHR 0322 


Osvens 


10/08/98 


13 09 NCR 


797 


98 EHR 0665 


Chess 


09/09/98 


13 07 NCR 


617 


98 EHR 0590 


Gras 


09/21/98 






98 EHR 0735 


Chess 


08/24/98 






98 EHR 093 1 


Chess 


08/20/98 







13:14 



NORTH CAROLINA REGISTER 



Januarv 15. 1999 



1208 



CONTESTED CASE DECISIONS 



AGENCY 

HEALTH AND HI MAN SERVICES 

Stanlev C Ochulo v OtT /Administrative Hearings. Mr R Marcus Lodge 

Oliver C Johnson, Hazel T Johnson v Health and Human Services 

Louise Streater v Health and Human Services 

Richard E Laurence. Rebecca A Lawrence v Health and Human Services 

John David Brinson v Department of Human Resources 

Stephanie Wade v Department of Health and Human Services 

Carolyn L Freeman v Department of Human Resources 

Otis L Mack, Jr v OtTice ol Administrative Hearings 

Christopher Germano. Lee Germano v Department of Health 

Carol and Conrad Kunkel v Department of Human Sen. ices 

E Jean Woods \ EDS - Medicaid 

Bemadette Anderson v Department of Health & Human Services 

Cherv'l Lynn Staton v Department of Health & Human Services 

Marv Barrier \ Administrative Hearing 

James Michael Wallace v Department of Human Resources 

Division of Child Development 

Dulatovvn Presbvlerian Children's Ctr v DHHS, Child Development 
Cassandra Myers v Division of Child Development 
Theresa McCormick v DHHS. Division of Child Development 
Dulatovvn Presbylenan Children Ctr v DHR. Child Development 
Dora's Child Development Center v Mecklenburg Cty DSS, and DHR 

Division of Facility Services 

Pearlie W Lavvson v DHHS, Facility Svcs . Health Care Personnel Reg 
Annie K Morgan v Health & Human Services . Facilm Services 
Mooresv lUe Hospital Mgmt Associates. Inc d/b/a Lake Norman Regional 

Medical Center v DHR. Facility Services, Certificate of Need Section 
and 

Autumn Corporation and McKinley V Jumey 
Warren Moore & Catherine Moore v DHR. Div of Facility Services 
Constellation Health Senices. Inc and Constellation Senior Senices. 

Inc V DHR. Facility Services. Group Care Licensure Section 
and 

Diversified Health Group, LLC and The Innovative Health Group. Inc 
Dialysis Care of NC. LLC. d/b/a Dialysis Care of Rowan County 

V DHR, Division of Facilitv Senices. Certificate of Need Section 

V Biomedical Applications of NC. Inc d/b/a BMA of Kannapolis d/b/a 
Metrolina kidney Center of Kannapolis (Lessee) and Metrolma Nephrologv 
Associates. PA (Lessor) 

Robin Annette Reavis v Health and Human Svcs , Div of Facility Svcs 
Jennifer Blofeld \ DHHS, Facility Svcs , Health Care Personnel Registry 
Sunlite Retirement Home. Winnie Jane Johnson v DHR. Facility Services 
Helen Shokoti \ Health and Human Senices. Div of Facility Senices 
Ann Davis Rest Home v Group Care Licensure Section 
Diane Lingard v DHR, Facility Svcs. Health Care Personnel Reg 
Kimberly .Annette Smith Hull v DHHS. Division of Facility Senices 
Living Centers-Southeast. Inc , Lutheran Retirement Center-Wilimington, 

Inc , and New Hanover Health Care Center, L L C v DHHS, Div of 

Facility Services. Certificate of Need Section, 
and 
Devin Partnership and Devm Health Care Associates. LLC. Columbia 

Cape Fear Healthcare System. Limited Partnership. Living Centers 

Southeast. Inc . Lutheran Retirement Center-Wilmington Inc , and 

New Hanover Health Care Center LLC 
Living Centers-Southeast. Inc , Lutheran Retirement Center-Wilimington 

Inc , and New Hanover Health Care Center. LLC v DHHS. Di\ of 

Facility Services. Certificate of Need Section, 
and 
De\ in Partnership and Devm Health Care Associates. LLC, Columbia 

Cape Fear Healthcare System. Limited Partnership. Living Centers 

Southeast. Inc . Lutheran Retirement Center-Wilmington Inc . and 

New Hanover Health Care Center LLC 
Living Centers-Southeast. Inc . Lutheran Retirement Center-Wilimington, 

Inc , and New Hanover Health Care Center, L L C v DHHS, Div of 

Facility Sen ices. Certificate of Need Section, 
and 
Devin Partnership and Devin Health Care Associates, LLC, Columbia 

Cape Fear Healthcare System, Limited Partnership, Living Centers 

Southeast. Inc , Lutheran Retirement Center-Wilmington Inc , and 

New Hanover Health Care Center LLC 
Deborah Ann Holt v DHHS, Division of Facility Services 
Columbia Direct Mktg Corp v DHHS. Facility Svcs , Soltn Lie Br 



CASE 




DATE OF 


NIMBER 


AU 


DECISION 


98 DHR 0021 


Reillv 


06/24/98 


98 DHR 0090 


Grav 


07/08/98 


98 DHR 0196 


Gray 


06/03/98 


98 DHR 0209 


Phipps 


07/15/98 


98 DHR 0369 


Owens 


08/1 7/98 


98 DHR 0666 


Reillv 


08/19/98 


98 DHR 0721 


Grav 


08/05/98 


98 DHR 0729 


Phipps 


09/09/98 


98 DHR 0780 


Owens 


07/28/98 


98 DHR 1047 


Smith 


12/04/98 


98 DHR 1118 


Gray 


10/26/98 


98 DHR 1257 


Morrison 


12/11/98 


98 DHR 1259 


Smith 


11/30/98 


98 DHR 1287 


Chess 


11/19/98 


98 DHR 1340 


Gray 


12/21/98 


98 DHR 0654 


Gray 


08/06/98 


98 DHR 0948 


Owens 


09/03/98 


98 DHR 0989 


Smith 


12/29/98 


98 DHR 1112 


Morrison 


10/16/98 


98 DHR 1184 


Phipps 


09/25/98 


97 DHR 1034 


Becton 


07/30/98 


97 DHR I046»' 


Phipps 


07/23/98 


97 DHR 1209 


Reilly 


06/23/98 



PI BLISHED DECISION 
REGISTER CITATION 



97 DHR 1279 
97 DHR 1529 



97 DHR 158 



98 DHR 0247* 



Mann 
Grav 



Phipps 



97 DHR 1672 


Reillv 


98 DHR 0096 


Grav 


98 DHR 0124 


Phipps 


98 DHR 01 73 


Chess 


98 DHR 01 97 


Phipps 


98 DHR 0214 


Becton 


98 DHR 0239 


Phipps 


98 DHR 0244*' 


Phipps 



98 DHR 0245*" Phipps 



Phipps 



09/08/98 
06/24/98 



08/31/98 



08/12/98 
08/21/98 
06/11/98 
08/26/98 
06/23/98 
06/22/98 
06/23/98 
11/24/98 



11/24/98 



11/24/98 



13 12NCR 1018 



13 12NCR 1018 



13 12 NCR 1 01 8 



98 DHR 0348 
98 DHR 0394 



Phipps 
Morrison 



06/22/98 
12/31/98 



1209 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



CONTESTED CASE DECISIONS 



AGENCY 

Tern Michelle T\ler v Health & Human Svcs. Di\ of Facilm Sen ices 

Dons Jones Holmes \ DHHS, Facilit\ Svcs. Health Care Personnel Reg 

Annie K Morgans Health & Human Services . lacilit\ Services 

Shirles Bowling \ DHHS, Facilit\ Senices. Health Care Personnel Reg 

Johnnie t Williams \ DHHS. Division of Facilitv Services 

Chrislv Jeton Hall \ DHHS, Division of Facility Senices 

Judith Mav Gale v DHHS, Division ofFacilitv Services 

lalonia Denise Thomas \ DHHS, Div ision ol" Facility Sen ices 

Traces Deirde Ciallouas \ DHHS, Facility Svcs . Health Care Per Reg 

At'i Teauanda Bvrd v DHHS. Division of Facility Senices 

Happv Dan's Home, Ciladvs Cooke \ Facility Svcs . Group Care Lie Sect 

Rose Mane Hadlev \ DHHS. Dnision of Facility Senices 

Robena Juanila Jones V DHHS. Division of Facility Senices 

Bridgettelavlor v Nurse Aide I Program. DFS 

Barbara Dav IS V DHHS, DiMSion of Facility Senices 

Division of Medical Assistance 

Charlotte-Mecklenburg Hospital Authority, d/b/a Carolinas Medical Ctr. 

and Ham Mahannah. M D \ DHHS, Division of Medical .Assistance 
Isaiah Smith. Jr . bv/through his Guardian, Lawrence E Thompson. Ill 

\ DHHS. Di\ision of Medical .Assistance 
Alic I Schneider. Julia R Hammonds v DHHS. Medical Assistance 

Division of Social Services 

William Hi Crvstal Steaklev v DH)JS. Division of Social Senices 
Rail .Abdus-Salaam v Department of Human Resources, DSS-DCA 

( hilil Support Enforcement Section 
Roben H Black v Guilford County Child Support Enforcement 
Dorman E Drake v Department of Human Resources 
Garrv R McNeills Department of Human Resources 
Robert ,Alan Davis \ Department of Human Resources 
Michael W Whiles Department of Human Resources 
Tros R Emmons, Jr s Department of Human Resources 
Man in A Pike v Department of Human Resources 
Man Putnam Avery s DSS, Durham County Child Support Enforcement 
.Anthony B GntTin v Department of Human Resources 
Gilbert G Grav v Department of Human Resources 
Jimmv Dorses v Department of Human Resources 
Herben Leon Sellers s Department of Human Resources 
Gregory Boren s Department of Human Resources 
David W Das IS s Department of Human Resources 
Dale W Hutchinson s Department of Human Resources 
KelsinChern s Depanmentof Human Resources 
Joe ,A Lynch v Department of Human Resources 
Gan W' Wampler s Department of Human Resources 
Kenneth Eugene Scott s Department of Human Resources 
Mark Ossens Frink v Department of Human Resources 
JefTen Lee Graves v Department of Human Resources 
Donald L Carr, Jr s Department of Human Resources 
Man in Diggs s Department of Human Resources 
Michael Patrick Dvme s Department of Health & Human Services 
Paula C Freeman s Department of Health & Human Senices 
Sherman I Arnold Sr s Department ol Health & Human Senices 
Dennis Lee McNeill s Department of Human Resources 
BsronO Ashbs lis Department of Human Resources 
Hubert L Morrisons Department of Human Resources 
Robert ,Alan Das is s Department of Human Resources 
Larry S Robinson s Child Support Enforcement Agency 
Darrsl C Thompson s Department of Health & Human Senices 
Daml C Thompson s Department of Health & Human Services 
Michael J Burgess s Department of Human Resources 
Michael Anthony Hill v Department of Human Resources 
Joseph L Hills Department of Human Resources 
Michael A Wilder s Department of Human Resources 
Bills ,Anthons Jr s Department ot Human Resources 
James B Benson s Department of Human Resources 
Lassrencc Wilkes s Department of Human Resources 
Alton D Bagles s Department of Human Resources 
Bemel B Berry J r s Department of Human Resources 
Darn I Simpkms s Department of Health & Human Senices 
.Anthony Montgomery s Department of Human Resources 
Temace Joan Ness s Department of Human Resources 
Joseph Gerard McPhillips s Department of Human Resources 



CASE 




DATE OF 


MMBER 


AIJ 


DEC ISION 


98 DHR (1458 


Gray 


08/21/98 


98 DHR 0463 


Gray 


08/21/98 


98 DHR (J496*' 


Phipps 


07/23/98 


98 DHR 0547 


Gras 


1 1 /09/98 


98 DHR 0639 


Reillv 


07/02/98 


98 DHR 0706 


Gray 


10/12/98 


98 DHR 0739 


Ossens 


12/16/98 


98 DHR 11809 


Gras 


1 0/23/98 


98 DHR 0824 


Grav 


09/24/98 


98 DHR 0838 


Reilly 


12/29/98 


98 DHR 0885 


(.)ssens 


11/19/98 


98 DHR 0970 


Smith 


10/08/98 


98 DHR 1089 


Grav 


1 2/29/98 


98 DHR 1283 


Mann 


12/14/98 


98 DHR 1317 


Gras 


12/21/98 


97 DHR 062 1 


Smith 


07/08/98 


98 DHR 0273 


Grav 


1 2/07/98 


98 DHR 0994 


Monison 


1 0/29/98 


98 DHR 0076 


Grav 


07/20/98 


98 DHR 0771 


Owens 


07/30/98 


96CRA 1548 


Mann 


10/09/98 


96CRA 1717 


Smith 


08/25/98 


96 CRA 1 743 


Reills 


1 0/22/98 


96CRA I781»" 


Phipps 


08/20/98 


96 CRA 1784 


Gras 


09/25/98 


96 CRA 1 798 


Reiily 


08/25/98 


96 CRA 1814 


Chess 


09/24/98 


96 CRA 1849 


Morrison 


09/01/98 


96 CRA 1855 


Gras 


12/18/98 


96 CRA 1 858 


Morrison 


1 0/08/98 


96 CRA 1 862 


Smith 


12/15/98 


96 CRA 1 932 


Smith 


11/06/98 


96 CRA 1 945 


Gras 


12/14/98 


96 CRA 1 976 


Smith 


1 1 /06/98 


96 CRA 1 98 1 


Mann 


08/26/98 


97 CRA 0026 


Gray 


12/14/98 


97 CRA 0045 


Phipps 


10/09/98 


97 CRA 0187 


Smith 


12/15/98 


97 CRA 1232 


Chess 


11/06/98 


97 CRA 1 524 


Mann 


1 0/09/98 


98 CRA 01 37 


Beclon 


06/23/98 


98 CRA 0545 


Reillv 


06/08/98 


98 CRA 0588 


Reilly 


06/24/98 


98 CR.A 0787 


Gray 


09/17/98 


98 CRA 1117 


Smith 


12/18/98 


98 CRA 1152 


Mann 


10/28/98 


96 CSE 1 305 


Gray 


06/22/98 


96CSE 1435 


Mann 


07/15/98 


96 CSE 1649 


Reilly 


08/12/98 


96 CSE 1780*" 


Phipps 


08/20/98 


96 CSE 1848 


Grav 


11/05/98 


96 CSE 1854*" 


Chess 


09/01/98 


96 CSE 1902» ' 


Chess 


09/01/98 


96 CSE 1989 


Mann 


12/10/98 


96 CSE 2028 


Mann 


08/26/98 


97 CSE 0624 


Chess 


11/06/98 


97 CSE 1301 


Chess 


07/17/98 


97 CSE 1393 


Reilly 


06/24/98 


97 CSE 1399 


Gras 


12/14/98 


97 CSE 1419 


Gras 


11/17/98 


97 CSE 1424 


Chess 


06/02/98 


97 CSE 1435 


Smith 


06/12/98 


97 CSE 1436 


Chess 


08/11/98 


97 CSE 1442 


Phipps 


06/17/98 


97 CSE 1450 


Morrison 


1 2/09/98 


97 CSE 1467 


Mann 


10/09/98 



PI BUSHED DECISION 
RE(;iSIER( ITATION 



13:14 



NORTH CAROLINA REGISTER 



Janiuirv 15, 1999 



1210 



CONTESTED CASE DECISIONS 



AGENCY 

Tern. Letterman \ Department ol Human Resources 

William E Mmesv Department ol Human Resources 

Christopher Alan v Department of Human Resources 

Annette Chipman v Department ot Human Resources 

Paul J Moble\.Jr v Department of Human Resources 

Alvm G Piper V Department of Health & Human Senices 

Robert A Sherer v Department of Human Resources 

Rodnes A Morrison v Depanment of Human Resources 

Oregon Andre Brouti \ Department of Health & Human Services 

Rodger Hazen II v Depanment of Human Resources 

Marion Amett \ Depanment of Human Resources 

Wade A Burgess v Depanment of Human Resources 

Roben L Robinson \ Department of Human Resources 

Jamie A Hunt v Department of Health & Human Services 

Renardo Jenkins \ Department of Human Resources 

Anthony Love v Depanment of Human Resources 

Eric Baldwin \ Department of Health & Human Services 

Steven Kent Gold v Department of Human Resources 

Leroy J Poole v Department of Human Resources 

Hoyal A McLean v Department of Health & Human Services 

Michael Bernard Hill v Department of Health & Human Services 

Terry M Cable v Department of Human Resources 

Charlie Ratlityjr v Department of Health & Human Services 

Donald W Lee v Depanment of Health & Human Services 

Bobby D Cook v Depanment of Health & Human Services 

John B Hall V Depanment of Human Resources 

Denick A Brinton \ Department of Human Resources 

Tabatha D Pate v Department of Human Resources 

Amanda F Blount v Department of Human Resources 

Gregory Cartv (IV #1564206) v Department of Human Resources 

Gregorv Cartv (IV #1564166) v Department of Human Resources 

John L Bullard v Department of Human Resources 

Frank A Cotton v Department of Human Resources 

Charlie Gray Hunt Jr \ Depanment of Human Resources 

Willie R Cruse \ Department of Health & Human Serv ices 

Thomas H Lotze, Jr v Department of Health & Human Services 

Robert L Williams v Depanment of Human Resources 

Patrick Bass v Depanment of Health & Human Services 

Tawanna Wheeler v Department of Health & Human Services 

Timothy Kinney \ Department of Health & Human Services 

Teresa L Galloway v Department of Health & Human Serv ices 

Michael A Looper v Department of Health &. Human Services 

Kenneth E Strickland \ Department of Health & Human Services 

Hovl H Bunt Jr \ Department of Health & Human Services 

Vernon Reginald Pinkney v Department of Health &. Human Services 

Elijah G Deans V Department of Health & Human Services 

James Howard Alexander v Department of Health & Human Services 

Lee J Coggins V Department of Human Resources 

Mark J Houlbrook v Department of Health & Human Serv ices 

Henry A Hamel, Jr \ Department of Health & Human Services 

Amanda F Ha\ iland Blount \ Department of Health & Human Services 

Deniira Jeffries v Depanment of Health & Human Services 

Bryan L Barksdale \ Department of Health & Human Services 

Karen Mitchell v Department of Human Resources 

Robert S Willetl \ Depanment of Health & Human Serv ices 

Judi Devlin v Depanment of Health & Human Serv ices 

Issac L Huey V Department of Health & Human Services 

Bill G Seamans V Scotland Ctv Child Sup Enf -Scotland County DSS 

Curtis M Threatt v Department of Health & Human Services 

Sammy Ra\ Smith v Department of Health & Human Services 

Ronnie F Davisv Department of Health & Human Serv ices 

Vickie E Lane \ Michael L Adams. Department of Human Resources 

Carla P Robinson v Department of Human Resources 

Rachel D Fanner v Depanment of Health & Human Services 

Janice Scott Padgett (Fisher) \ Department of Human Resources 

Barbara Fanta-Blandine \ Department of Human Resources 

Sharon Brim v Department of Health & Human Services 

Karen White v Depanment of Human Resources 

Sherry L Hampton v Depanment of Human Resources 

Terita M Sharpe \ Depanment of Human Resources 

Sherisse Stancel Kelly \ Department of Human Resources 

Ruth McFadden v Department of Human Resources 



CASE 




DATE OF 


MMBER 


AU 


DECISION 


97CSE 1492 


Smith 


06/22/98 


97CSE 1527 


Mann 


09/08/98 


97 CSE 1 544 


Chess 


10/16/98 


97 CSE 1 545 


Phipps 


07/23/98 


97 CSE 1568 


Phipps 


06/17/98 


97 CSE 1 599 


Phipps 


11/10/98 


97 CSE 1 605 


Mann 


07/15/98 


97 CSE 1611 


Gray 


10/23/98 


97 CSE 1656 


Gray 


08/27/98 


97 CSE 1666 


Chess 


07/17/98 


97 CSE 1685 


Mann 


12/10/98 


98 CSE 0071 


Momson 


06/12/98 


98 CSE 0130 


Reilly 


07/15/98 


98 CSE 0307 


Momson 


07/06/98 


98 CSE 0310 


Smith 


06/23/98 


98 CSE 03 12 


Phipps 


06/23/98 


98 CSE 0319 


Phipps 


12/15/98 


98 CSE 0333 


Momson 


07/01/98 


98 CSE 0375 


Reillv 


07/02/98 


98 CSE 0420 


Smith 


07/29/98 


98 CSE 0421 


Becton 


07/15/98 


98 CSE 0433 


Phipps 


12/09/98 


98 CSE 0449 


Mann 


07/15/98 


98 CSE 0469 


Gray 


11/09/98 


98 CSE 0483 


Reil'lv 


10/06/98 


98 CSE 0506 


Chess 


07/20/98 


98 CSE 0555 


Smith 


08/07/98 


98 CSE 0556 


Becton 


06/23/98 


98 CSE 0560 


Chess 


07/29/98 


98 CSE 0561 •'' 


Phipps 


09/23/98 


98CSE0562*'' 


Phipps 


09/23/98 


98 CSE 0569 


Momson 


08/06/98 


98 CSE 0578 


Gray 


10/08/98 


98 CSE 0607 


Smith 


06/22/98 


98 CSE 0653 


Mann 


08/26/98 


98 CSE 0658 


Phipps 


08/31/98 


98 CSE 0682 


Smith 


06/22/98 


98 CSE 0689 


Owens 


09/18/98 


98 CSE 0691 


Owens 


10/09/98 


98 CSE 0728 


Smith 


09/17/98 


98 CSE 0769 


Becton 


07/30/98 


98 CSE 0783 


Chess 


09/08/98 


98 CSE 0817 


Mann 


09/08/98 


98 CSE 08 18 


Momson 


09/15/98 


98 CSE 0833 


Owens 


07/29/98 


98 CSE 0867 


Phipps 


07/20/98 


98 CSE 0869 


Reillv 


08/06/98 


98 CSE 0894 


Smith 


08/20/98 


98 CSE 0949 


Smith 


09/08/98 


98 CSE 0975 


Chess 


09/01/98 


98 CSE 0985 


Mann 


11/18/98 


98 CSE 1036 


Momson 


09/15/98 


98 CSE 1052 


Momson 


10/09/98 


98 CSE 1 095 


Reillv 


10/06/98 


98 CSE 1153 


Chess 


11/19/98 


98 CSE 1177 


Gray 


12/29/98 


98 CSE 1301 


Owens 


12/11/98 


98 CSE 1391 


Phipps 


12/09/98 


98 CSE 1447 


Phipps 


12/18/98 


98 CSE 1474 


Reillv 


12/18/98 


98 CSE 1 523 


Owens 


12/29/98 


96 DCS 2 1 05 


Grav 


07/08/98 


97 DCS 0124 


Reillv 


11/10/98 


97 DCS 0251 


Phipps 


08/31/98 


97 DCS 1219 


Smith 


07/29/98 


97 DCS I486 


Momson 


06/22/98 


97 DCS 1 574 


Grav 


08/04/98 


98 DCS 0053 


Chess 


12/14/98 


98 DCS 0257 


Momson 


12/01/98 


98 DCS 0468 


Momson 


06/09/98 


98 DCS 0508 


Mann 


12/16/98 


98 DCS 0675 


Reillv 


07/15/98 



PI BLISHED DECISION 
REGISTER CITATION 



Division of M omen 's and Children 's Healtli 



1211 



NORTH CAROLINA REGISTER 



Januarv 15, 1999 



13:14 



CONTESTED CASE DECISIONS 



AGENCY 

Khamis A Sirhan \ DHHS. Women's/Children's Health. Nutrition Svcs 
Joseph A Nauas v DHHS. Women's/Children's Health. Nutrition Svcs 
Mohamad I Rahman \ DHHS, Womens/Childrens Hllh. Nutr Svcs Sect 
Fvelyn Powell v Nutrition Services Section 

JlSTIfE 

James Todd Tippet v NC Compan\ Police Program 

Alarm Systems Licensing Board 

Claude David Huggins \ Alarm Systems Licensing Board 
Ja\ Michael RatclilTv Alarm Systems Licensing Board 
Robert Derek Ross v .Alarm Systems Licensing Board 
Barr\ D Lyman \ .Marm Systems Licensing Board 

Auctioneer Licensing Board 

Wiley R Jvndall \ Auctioneer Licensing Board 
Gavin Haviv Ahadi v .'\uclioneer Licensing Board 

Education and Training Standards Division 

Thomas Duavne Brown v SheritTs' Lducation & Training Standards Comm 
Kenneth Joseph Jackson \ SheritTs' Education & Training Standards Comm 
Odis Litzgerald Darden v SheritTs' Education & Iraining Standards Comm 
Ho\ le Kenneth Wise. Jr \ SheritTs' Education & 1 raining Standards Comm 
Kenneth Larl Brantley v Criminal Justice Ed & Training Stds Comm 
Hearl Oxendine v Criminal Justice Education & Training Stds Comm 
James Farrell Roberts \ Criminal Justice Education &. Iraining Stds Comm 
Phillip Keith McPherson \ Sheriffs' Education & Training Standards Comm 
Dar\l LaMar Brvant v SheritTs' Education & Training Standards Comm 
Harold E Esters v SheritTs' Education & 1 raining Standards Comm 
William Scott Key v SheritTs' Education & Training Standards Comm 
Cecil W Duke, Jr \ Criminal Justice Education & Training Stds Comm 
Amado Martinez \ Criminal Justice Education & Training Stds Comm 
Johnny Wayne Wills v Criminal Justice Education & Training Stds Comm 
James E Ellerbe \ SheritTs' Education & Training Standards Comm 
Paul Har\e\ Tavlor V DOJ. Criminal Justice Ed & Eraining Stds Comm 
Kenneth Joseph Jackson v SheritTs' Education & Iraining Standards Comm 
Kelly Su/jnne May berry v SheritTs' Education & Training Stds Comm 
Sharon Day Herring \ Shenfts' Education & Training Stds Comm 
Robert Ryan Hardison v Sheriffs' Education & Training Standards Comm 
Tracey Jerome Clark \ SheritTs' Education & Training Standards Comm 
EvcKn D Broun v SheritTs' Education & J raining Stds Comm 
Kevin Lamar Dorsey v Sheriffs' Education & Training Standards Comm 
Willoughby McCormick. Jr v SheritTs' Ed & Training Standards Comm 
Paul Harvey Taylor v Criminal Justice Ed & Training Stds Comm 

Private Protective Services Board 

WavneCarev v Private Protective Services Board 
Claims VeriLication, Inc v Private Protective Services Board 
Walter R Shirer v Private Protective Serv ices Board 
Stacey L Williams v Private Protective Services Board 
Eugene Norman Garrett v Private Protective Serv ices Board 
G Russell Smith \ Private Protective Services Board 
Da\ id C Brisson v Private Protective Services Board 
Danny Charles Garrett v Private Protective Services Board 
Dav id C Truesdale v Private Protective Serv ices Board 
Dennis Rav Hyatt v Private Protective Services Board 
.AltVed D Malson v Private Protective Senices Board 
Rodney Hamilton Marsh v Private Protective Services Hoard 
Melvm Eugene Davis v Private Protective Services Board 
Glen Leon Eitchette v Private Protective Serv ices Board 
Arv in Itvvaru v Private Protective Services Board 

LABOR 

llildreth Mechanical & Maintenance v Labor/Labor Standards 
labor World, Eric Feinstein v Labor, Harrv E Payne, Jr 

BOARD OK MKDK AL EXAMINERS 

Joe D Cravvtbrd, M D v Medical Bd ol'NC Bd ot'Medical LAaminers 



PLBLK INSTRl (TION 

Linda & Danny Howard tor Nikki Howard v 
George & Ruth Sinclair tor Adam Sinclair v 

{Special Education Services) 
Nicholas Eirschele, By and Throught His Parents, Charles & Kathleen 



Lenoir CtvBd of Ed 
Wake Countv Schools 



CASE 




DATE OF 


MMBER 


AIJ 


DECISION 


■^SDHROIiy 


Reilly 


08/11/98 


98 DHR 0637 


Phipps 


07/02/98 


98 DHR 09;3 


Chess 


11/06/98 


98 DHR 1135 


Smith 


11/13/98 


97 DOJ 1 368 


Phipps 


09/10/98 


98 DOJ 087 1 


Morrison 


07/09/98 


98 DOJ 1.345 


Owens 


11/19/98 


98 DOJ 1494 


Morrison 


12/10/98 


98 DOJ 1 496 


Smith 


12/16/98 


97 DOJ 1236 


Phipps 


07/24/98 


98 DOJ 1060 


Smith 


10/21/98 


97 DOJ 1319 


Phipps 


07/29/98 


97 DOJ 1578»' 


Grav 


08/20/98 


97 DOJ 1698 


Reillv 


06/12/98 


98 DOJ 0022 


Smith 


07/14/98 


98 DOJ 0046 


Gray 


1 1 /04/98 


98 DOJ 0121 


Smith 


06/22/98 


98 DOJ 0147 


Smith 


07/16/98 


98 DOJ 0388 


Reilly 


07/24/98 


98 DOJ 0430 


Gray 


07/21/98 


98 DOJ 0431 


Gray 


08/21/98 


98 DOJ 0432 


Becton 


06/08/98 


98 DOJ 0479 


Chess 


10/07/98 


98 DOJ 0526 


Morrison 


09/09/98 


98 DOJ 0574 


Chess 


07/30/98 


98 DOJ 0600 


Morrison 


08/07/98 


98 DOJ 0841 


Phipps 


09/16/98 


98 DOJ 0847*' 


Grav 


08/20/98 


98 DOJ 0875 


Chess 


11/13/98 


98 DOJ 0877 


Mann 


12/30/98 


98 DOJ 0878 


Phipps 


09/08/98 


98 DOJ 0879 


Owens 


08/3 1 /98 


98 DOJ 0922 


Mann 


12/22/98 


98 DOJ 0930 


Phipps 


09/22/98 


98 DOJ 1 007 


Reilly 


10/13/98 


98 DOJ 1125 


Phipps 


1 2/30/98 


98 DOJ 0619 


Owens 


11/19/98 


98 DOJ 0848 


Smith 


08/04/98 


98 DOJ 0937 


Morrison 


09/17/98 


98 DOJ 0938 


Morrison 


08/18/98 


98 DOJ 0939 


Morrison 


08/18/98 


98 DOJ 0940 


Owens 


11/19/98 


98 DOJ 094 1 


Owens 


11/19/98 


98 DOJ 1081 


Morrison 


09/17/98 


98 DOJ 1082 


Morrison 


12/10/98 


98 DOJ 1139 


Owens 


11/19/98 


98 DOJ 1141 


Morrison 


09/29/98 


98 DOJ 1142 


Owens 


11/04/98 


98 DOJ 1145 


Morrison 


09/22/98 


98 DOJ 1307 


Owens 


11/03/98 


98 DOJ 1493 


Morrison 


12/10/98 


98 DOE 0903 


Mann 


11/04/98 


98 DOE 1256 


Grav 


11/05/98 


98 BME 0870 


Owens 


07/30/98 


97EDC 1047 


Gray 


10/30/98 


97 EDC 1 233 


Phipps 


08/11/98 


97EDC 1234 


Phipps 


07/16/98 



PI BEISHED DECISION 
REGISTER CITATION 



13 II NCR 935 



13:14 



NORTH CAROLINA REGISTER 



January 15, 1999 



1212 



CONTESTED CASE DECISIONS 



AGENCY 

Eirschele v Craven Count\ Board of Education 
Dewitt Bnnson & Elizabeth Brinson v Craven County Board of Education 
Gene Edward Lloyd v Department of Public Instruction 
Mrs Phyllis Y Moore v Cumberland County Schools 
Laney Bruce Hamll v State Board of Education 

L K on behalf of her son. .1 H . as well as on her own behalf v St Bd /Ed 
Joseph . I Sarrerro \ Department of Public Instruction 
M E and her husband, PE , individually, and on hehaU'of their son, C E 

V Bd of Ed for Buncombe Cb. a/k/a Buncombe Ctv Public Schools, et al 



CASE 




DATE OF 


NIMBER 


AU 


DECISION 


97EDC 1298 


Phipps 


1 0/26/98 


98EDC0IIO 


Reilly 


09/10/98 


98 EDC 0305 


Gray 


08/05/98 


98 EDC 0350 


Smith 


09/17/98 


98 EDC 0370 


Smith 


10/14/98 


98 EDC 0459 


Owens 


08/10/98 


98 EDC 0566 


Gray 


10/01/98 



PIBLISHED DECISION 
REGISTER CITATION 



STATE BAR 

Linda R Sharp v North Carolina State Bar 



98 BAR 1344 



Morrison 



11/09/98 



STATE PERSONNEL 



Department of Administration 

David Grigsby \ NC Commission of Indian Affairs 

Community Colleges 

Dr William R Strickland v NC Community College System 

Department of Correction 

Annie D Dizon v NC Correctional (Inst ) Center for Women 

Terry T Rees v Department of Correction 

Mohammad H Baloch, M D v Department of Correction 

Leon Owens v Department of Correction 

Terry T Rees v Department of Correction 

Michael A Smith \ Department of Correction 

Michael A Smith \ Department of Correction 

Jayne D Bledsoe v Correction, Div of Adult Probation & Parole 

David Spencer Noms v Correction, Div of Adult Probation & Parole 

Carl W Craven, II v Pender Correctional Institution 

Ervin Shaw v Martin Homer, Asst Super , Corr , Sandv Ridge Corr Ctr 

Joseph Szilagyi v Department of Correction 

Dennis S Harrell v Dept of Correction, Caledonia Correctional Institute 

Tommy L Hancock v Department of Correction 

Tommy L Hancock v Department of Correction 

Bertha Darden v Raymond Smith & Dept of Correction. Central Prison 

Robert C Lowder \ Brown Creek Correctional Institution 

Ruth Moseley v Department of Correction 

Lament M Burt \ Department of Correction 

Mark Murphy v Correction, Div of Adult Probation & Parole 

Leo Powell v Harnett Correctional Institute, Department of Correction 

Amos Boone \ Department of Correction 

Nona W Hubbard v DOC, Division of Community Corrections 

Robert R Stovall v Department of Correction 

Harold Keith Hamm v Dept of Correction Enterprise/Personnel OtT 

Joseph A Harrell v Correction, Div of Adult Probation & Parole 

Crime Control and Public Safety 

Roger D Davis \ Crime Control & Public Saferv, St Hwy Patrol 
Albert R Little \ Crime Control & Public Safen, Into S\s Specialists 
Thomas E Carlton v Crime Control & Public Safety, St Hwy Patrol 

Eastern North Carolina School for the Deaf 

Cathy A Lancaster v Eastern North Carolina School for the Deaf 

Employment Security Commission 

Jane B Bolin and .Arlene G Sellers \ Emplovinent Security Commission 
Jane B Bolin and Arlene G Sellers v Emplovment Securm Commission 

Environment and Natural Resources 

Charles Anthonv Bruce v ENR. Division of Parks and Recreation 

Health and Human Services 

Annette Honea \ Department of Human Resources 

Angela M Miles v Cumberland Count\ Department of Social Senices 

Shung Fung-Chin v Department of Human Resources, Caswell Center 

Walker Cannon v DHR/Caswell Center 

Charitv Swickv Cumberland County Department of Social Services 



98OSP0428 


Morrison 


12/14/98 


98 0SP 1305 


Grav 


1 2/07/98 


97OSP0I66 


Mann 


11/06/98 


97 0SP I67I»' 


Smith 


06/30/98 


98OSP00I4 


Grav 


09/01/98 


98OSP0050 


Becton 


07/10/98 


98OSP01I9*' 


Smith 


06/30/98 


98OSP0231*'' 


Reillv 


08/11/98 


98OSP03I7*'' 


Reillv 


08/11/98 


98 OSP 0543 


Owens 


07/29/98 


98OSP0572 


Gray 


12/18/98 


98 OSP 0633 


Smith 


06/25/98 


98 OSP 067 1 


Phipps 


1 0/09/98 


98 OSP 0757 


Owens 


1 0/05/98 


98 OSP 0846 


Morrison 


09/08/98 


98 OSP 0881 


Owens 


08/04/98 


98 OSP 0882 


Owens 


1 0/09/98 


98 OSP 0905 


Smith 


09/25/98 


98 OSP 0984 


Owens 


12/02/98 


98 OSP 1092 


Grav 


1 0/07/98 


98 OSP 1 1 1 5 


Smith 


10/06/98 


98 OSP 11 55 


Mann 


12/21/98 


98 OSP 11 75 


Owens 


1 1 /25/98 


98 OSP 11 88 


Smith 


12/15/98 


98 OSP 1214 


Owens 


10/27/98 


98 OSP 1282 


Phipps 


1 0/26/98 


98 OSP 1409 


Grav 


12/16/98 


98 OSP 1411 


Grav 


12/11/98 


97 OSP 061 7 


Chess 


05/27/98 


97 OSP 1157 


Morrison 


07/22/98 


98 OSP 0919 


Phipps 


09/24/98 


98 OSP 0482 


Grav 


11/30/98 


97 OSP 1122'' 


Chess 


06/02/98 


97 OSP 1134* 


Chess 


06/02/98 


98 OSP 0240 


Reillv 


06/08/98 


96 OSP 0833 


Chess 


08/24/98 


97 OSP 06 13*' 


Gray 


07/10/98 


97 OSP 0638*'" 


Chess 


08/13/98 


97 OSP 0731 


Phipps 


11/30/98 


97 OSP 0775 


Grav 


07/10/98 



Consolidated Cases. 



J2J3 



NORTH CAROLINA REGISTER 



January 15, 1999 



13:14 



CONTESTED CASE DECISIONS 



AGENCY 

Yolandra Best and Ro> Hudson v DHHS, John Umstead Hospital 

Yolandra Best and Ro> Hudson \ DHHS. John Umstead Hospital 

Kenneth Dippel v Columbus Count\ Depl ol Social Sen ices 

Fred loster, Jr \ Department of Health and Human Ser\'ices 

Shung Fung-Chin v Department of Human Resources, Caswell Center 

Ruth Holroyd \ Montgomery Ct\ DSS, Children's Ser\ ices 

Iilda D Whitaker v Nash Counts Health Department Board of Directors 

Fred loster, Jr v Department ot'Flealth and Human Services 

James W Crews v DHHS, Murdoch Center 

Patricia R Quick v DHHS. Dorothea Di\ Hospital 

Angela M Miles v Cumberland County Department of Social Services 

Delores Laxeme Rich \ Health & Human Services, Dorothea Di\ Hosp 

Elwin C Munson v Health & Human Sen.ices, Juvenile tvaluation Center 

Fred Foster, Jr v Department of Health and Human Services 

Jackie M Sinclair v Duplin-Sampson Area Mental Health DD. SAS 

David A kilpatrick v Flealth & Human Sen. ices, Caswell Center 

f red Foster, Jr v Department of Health and Human Services 

1 aura Blanton \ Cleveland Center 

.Anthonv M Ruiz v Department of Health & Human Svcs, Youth Svcs 

Rudolph Waters v DHHS. Youth Senices. Dobbs School 

tuvvell Falconer \ Karen A Andrews. Gaston-Lincoln Area Mental Health 

JelTrev 1. Williams v Dorothea Di.\ Hospital 

Delores Laveme Rich v DHHS. Dorothea Di\ Hospital 

Barbara Jean Paquette v Durham Countv (respondeat superior for the 

Durham Count% Public Library ) 
Linda Paige v Center Point Human Services Forsyth Mental Health 

Forsvlh Industrial Systems 
Stanley K Strong v Jimmy Summenille, Dobbs School. Youth Svcs 
Derrick Skinner \ Health & Human Services. CheriA Hospital 
Paul I, Long v Department of Health & Human Sen ices 

Department of Insurance 

Patricia Casev Rollins v Department of Insurance 

Department of Justice 

Linda Margaret Koss v State Bureau of Investigation 

Department of Public Instruction 

Lillie Humette Pearsall v Wayne Ct\ Bd ofLd.Mrs Veda McNair and 
Mr Steve Tavlor 



CASE 




DATE OF 


PI BLISHED DECISION 


M MBFR 


AIJ 


DECISION 


REGISTER CITATION 


97 0SP()862*" 


Chess 


08/13/98 




97OSP0863'" 


Chess 


08/13/98 




97 OSP 0905 


Grav 


11/09/98 




97 0SP 1287»'- 


Smith 


08/20/98 




97 OSP 1530*'" 


Chess 


08/13/98 




97 OSP 1586 


Smith 


05/27/98 


13 02 NCR 257 


97 OSP 1665 


Gray 


1 2/02/98 




97 OSP 1701»'- 


Smith 


08/20/98 




98 OSP 0060 


Gray 


07/20/98 




98 OSP 0061 


Becton 


07/16/98 




98 OSP 0084*' 


Gray 


07/10/98 




98 OSP 0120 


Gray 


07/08/98 




98 OSP 0140 


Phipps 


10/28/98 




98 OSP 01 87*'' 


Smith 


08/20/98 




98 OSP 0252 


Smith 


12/31/98 




98 OSP 0271 


Owens 


08/13/98 




98 OSP 0403*" 


Smith 


08/20/98 




98 OSP 0453 


Smith 


1 0/02/98 




98 OSP 0454 


Gra\ 


06/04/98 




98 OSP 0474 


Morrison 


07/30/98 




98 OSP 0538 


ReilK 


08/06/98 




98 OSP 0595 


Becton 


07/22/98 




98 OSP 0763 


Gray 


12/02/98 




98 OSP 0765 


Morrison 


08/05/98 




98 OSP 08 19 


Smith 


11/05/98 




98 OSP 1017 


Gray 


12/07/98 




98 OSP 1035 


Gray 


09/21/98 




98 OSP 1 202 


Owens 


12/16/98 




95 OSP 0729 


Chess 


12/14/98 




97 OSP 01 89 


Chess 


08/14/98 




98 OSP 0944 


Smith 


08/25/98 





Secretary of State 

Jonathan M Demcr- 



Department of Secretary of State 



Department of Transportation 

Pasquale Vendettuoli v Department of Transportation 

Johnny O Shivar v Department of Transportation 

Teresa G Mitchell v Department of Transportation 

LarryW Davis v Department of Transportation 

Sherry LynnNolesv Department of Iransportation-NCDMV 

Clarice Goodwin Arthur v Department of Transportation. Ferries Division 

Vnirersity ofSorth Carolina 

Joseph A Bryant v North Carolina A & T University 

Joseph A Bryant v North Carolina A & T University 

Douglas Love, Jr v UNC Hospitals 

Deborah J Fennerv NC Central Universm 

Joyce M Smith v North Carolina Central University 

Edwin Swain v Llniversity of North Carolina at Chapel HiH 

Patricia A G Roberts v Asst /Chan /Qtv Mgmt /Dir Human Res UNCW 

Leo Watford, Roosevelt Partis, Claiborne Baker, et al v University of 

North Carolina at Chapel Hill 
Johnny Johnson, Jr v A & T St University Student Union-Grievance Bd 
Jessie L Johnson v Bernard K Locklear, LINC at Pembroke 
Jonathan L Fann v North Carolina State University Physical Plant 
Greta M Havvlhome v University of NC at Pembroke 
Robert W Brinson v NC State University 
Alberta ,A Ingram-Peterson v NC Central University 
Thomas H Hastye, 111 v NC A & T State University 
Fred T Jackson v UNC-Charlotte Recreational Facilities 
Betty Parks v Winston Salem State flniversiiy 
Ronnie Bell \ Dave Hillard, LINC at Charlotte 



97 OSP 1018 


Becton 


97 OSP 1090 


Morrison 


97 OSP 1 366 


ReilK 


97 OSP 1 565 


Smith 


98 OSP 0241 


Grav 


98 OSP 0269 


Chess 


98 OSP 0864 


Phipps 


96 OSP 1698*"' 


Mann 


97 OSP 0242*'- 


Mann 


97 OSP 0662 


Reillv 


97 OSP 0902 


Chess 


97 OSP 1297 


Smith 


97 OSP 1 694 


Morrison 


98 OSP 01 78 


Phipps 


98 OSP 0254 


Chess 


98 OSP 0299 


Owens 


98 OSP 0444 


Grav 


98 OSP 0465 


Becton 


98 OSP 0831 


Chess 


98 OSP 0887 


Ow ens 


98 OSP 1024 


Smith 


98 OSP 1114 


Rcillv 


98 OSP 1216 


Smith 


98 OSP 1278 


Chess 


98 OSP 1 330 


Smith 



07/07/98 



1 2/1 9/98 
09/01/98 
12/09/98 
07/08/98 
08/11/98 
09/24/98 



1 2/02/98 
1 2/02/98 
06/08/98 
05/29/98 
06/25/98 
07/31/98 
1 0/08/98 
07/17/98 

09/02/98 
09/29/98 
07/17/98 
09/11/98 
08/10/98 
10/14/98 
1 2/30/98 
1 0/22/98 
11/25/98 
11/10/98 



13 03 NCR 343 



STATE TREASl RER 



13:14 



NORTH CAROLINA REGISTER 



Janiiurv 15, 1999 



1214 



CONTESTED CASE DECISIONS 



Hugh A Wells V Consolidated Judicial Retirement System of NC. 98 0510316 Morrison 06/05/98 13 01 NCR 166 

Bd of Trustees Teachers and State Employees' Retirement System 
Walter Williams s Bd of Trustees NC Local Gov Emp Retirement Sys 

TRANSPORTATION 

David Warren Dew et al v Motor Vehicles. Alexander Killcns Comm 

IININ ERSIT^ OF NORTH C AROLINA 

Patricia D Hall v University of North Carolina at Chapel Hill 
Ladonna P James v LINC Hospitals 
Joyceline Sellars v UNC Hospitals 



q8DST03l6 


Morrison 


06/05/98 


1301 NCR 


98 DST 0774 


Smith 


1 2/08/98 




95 DOT 1144 


Gray 


06/04/98 




98 UNC 0397 


Reillv 


08/20/98 




98 UNC 0591 


Becton 


07/20/98 




98 UNC 1113 


Smith 


10/22/98 





J215 NORTH CAROLINA REGISTER Januan 15, 1999 13:14 



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